Table of ContentsPageExplanationvTitle 10:Chapter II—Department of Energy3Finding Aids:Material Approved for Incorporation by Reference607Table of CFR Titles and Chapters617Alphabetical List of Agencies Appearing in the CFR633List of CFR Sections Affected643

Cite this Code:CFR

To cite the regulations in this volume use title, part and section number. Thus, 10 CFR 202.21 refers to title 10, part 202, section 21.Explanation

The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas.

Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows:

Title 1 through Title 16

as of January 1

Title 17 through Title 27

as of April 1

Title 28 through Title 41

as of July 1

Title 42 through Title 50

as of October 1

The appropriate revision date is printed on the cover of each volume.

LEGAL STATUS

The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule.

To determine whether a Code volume has been amended since its revision date (in this case, January 1, 1997), consult the “List of CFR Sections Affected (LSA),” which is issued monthly, and the “Cumulative List of Parts Affected,” which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

Each volume of the Code contains amendments published in the Federal Register since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut-off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text.

OMB CONTROL NUMBERS

The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal agencies to display an OMB control number with their information collection request. Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements.

OBSOLETE PROVISIONS

Provisions that become obsolete before the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on a given date in the past by using the appropriate numerical list of sections affected. For the period before January 1, 1986, consult either the List of CFR Sections Affected, 1949-1963, 1964-1972, or 1973-1985, published in seven separate volumes. For the period beginning January 1, 1986, a “List of CFR Sections Affected” is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law.

What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are:

(a) The incorporation will substantially reduce the volume of material published in the Federal Register.

(b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process.

(c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51.

Properly approved incorporations by reference in this volume are listed in the Finding Aids at the end of this volume.

What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed in the Finding Aids of this volume as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, Washington DC 20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR Index and Finding Aids. This volume contains the Parallel Table of Statutory Authorities and Agency Rules (Table I), and Acts Requiring Publication in the Federal Register (Table II). A list of CFR titles, chapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume.

An index to the text of “Title 3—The President” is carried within that volume.

The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the “Contents” entries in the daily Federal Register.

A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

There are no restrictions on the republication of material appearing in the Code of Federal Regulations.

INQUIRIES

For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency's name appears at the top of odd-numbered pages.

For inquiries concerning CFR reference assistance, call 202-523-5227 or write to the Director, Office of the Federal Register, National Archives and Records Administration, Washington, DC 20408.

SALES

The Government Printing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call 202-512-1800, M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours a day. For payment by check, write to the Superintendent of Documents, Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO Customer Service call 202-512-1803.

Richard L. Claypoole,Director,Office of the Federal Register.January 1, 1997.THIS TITLE

Title 10—Energy is composed of four volumes. The parts in these volumes are arranged in the following order: parts 0-50, 51-199, 200-499 and part 500-end. The first and second volumes containing parts 0-199 are comprised of chapter I— Nuclear Regulatory Commission. The third and fourth volumes containing part 200-end are comprised of chapters II, III and X—Department of Energy, chapter XI—United States Enrichment Corporation, chapter XV—Office of the Federal Inspector for the Alaska Natural Gas Transportation System, and chapter XVII—Defense Nuclear Facilities Safety Board. The contents of these volumes represent all current regulations codified under this title of the CFR as of January 1, 1997.

For this volume, Christopher R. Choate was Chief Editor. The Code of Federal Regulations publication program is under the direction of Frances D. McDonald, assisted by Alomha S. Morris.

Partchapter ii—Department of Energy20210 CFR Ch. II (1-1-97 Edition)Department of EnergyCHAPTER II—DEPARTMENT OF ENERGYSUBCHAPTER A—OILPartPage200-201[Reserved]202Production or disclosure of material or information5205Administrative procedures and sanctions6207Collection of information47209International voluntary agreements52210General allocation and price rules57212Mandatory petroleum price regulations64215Collection of foreign oil supply agreement information64216Materials allocation and priority performance under contracts or orders to maximize domestic energy supplies66218Standby mandatory international oil allocation70220[Reserved]221Priority supply of crude oil and petroleum products to the Department of Defense under the Defense Production Act76SUBCHAPTERS B—C [RESERVED]SUBCHAPTER D—ENERGY CONSERVATION400-417[Reserved]420State energy program80430Energy Conservation Program for consumer products93435Energy conservation voluntary performance standards for new buildings; mandatory for Federal buildings263436Federal energy management and planning programs497440Weatherization assistance for low-income persons522445[Reserved]451Renewable energy production incentives.543455Grant programs for schools and hospitals and buildings owned by units of local government and public care institutions547456[Reserved]470Appropriate Technology Small Grants Program578473Automotive propulsion research and development583474Electric and Hybrid Vehicle Research, Development and Demonstration Program; equivalent petroleum-based fuel economy calculation587490Alternative fuel transportation program589491-499[Reserved]Editorial Note:

Chapter II—Department of Energy is continued in the volume containing 10 CFR part 500 to End.

10 CFR Ch. II (1-1-97 Edition)Department of EnergySUBCHAPTER A—OILPARTS 200-201—[RESERVED]PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATIONSubpart A—[Reserved]Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities202.21Purpose and scope.202.22Production or disclosure prohibited unless approved by appropriate DOE official.202.23Procedure in the event of a demand for production or disclosure.202.24Final action by the appropriate DOE official.202.25Procedure where a decision concerning a demand is not made prior to the time a response to the demand is required.202.26Procedure in the event of an adverse ruling.Authority:

Subpart A—[Reserved]Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other AuthoritiesSource:

39 FR 35472, Mar. 13, 1974, unless otherwise noted.

§ 202.21Purpose and scope.

(a) This subpart sets forth the procedures to be followed when a subpoena, order, or other demand (hereinafter referred to as a “demand”) of a court or other authority is issued for the production or disclosure of (1) any material contained in the files of the Department of Energy (DOE), (2) any information relating to material contained in the files of the DOE, or (3) any information or material acquired by any person while such person was an employee of the DOE as a part of the performance of his official duties or because of his official status.

(b) For purposes of this subpart, the term “Employee of the DOE” includes all officers and employees of the United States appointed by, or subject to the supervision, jurisdiction, or control of, the Administrator of DOE.

No employee or former employee of the DOE shall, in response to a demand of a court or other authority, produce any material contained in the file of the DOE or disclose any information relating to material contained in the files of the DOE, or disclose any information or produce any material acquired as part of the performance of his official duties or because of his official status without prior approval of the General Counsel of DOE.

§ 202.23Procedure in the event of a demand for production or disclosure.

(a) Whenever a demand is made upon an employee or former employee of the DOE for the production of material or the disclosure of information described in § 202.21(a), he shall immediately notify the Regional Counsel for the region where the issuing authority is located. The Regional Counsel shall immediately request instructions from the General Counsel of DOE.

(b) If oral testimony is sought by the demand, an affidavit, or, if that is not feasible, a statement by the party seeking the testimony or his attorney, setting forth a summary of the testimony desired, must be furnished for submission by the Regional Counsel to the General Counsel.

§ 202.24Final action by the appropriate DOE official.

If the General Counsel approves a demand for the production of material or disclosure of information, he shall so notify the Regional Counsel and such other persons as circumstances may warrant.

§ 202.25Procedure where a decision concerning a demand is not made prior to the time a response to the demand is required.

If response to the demand is required before the instructions from the General Counsel are received, a U.S. attorney or DOE attorney designated for the purpose shall appear with the employee or former employee of the DOE upon whom the demand has been made, and shall furnish the court or other authority with a copy of the regulations contained in this subpart and inform the court or other authority that the demand has been, or is being, as the case may be, referred for the prompt consideration of the appropriate DOE official and shall respectfully request the court or authority to stay the demand pending receipt of the requested instructions.

§ 202.26Procedure in the event of an adverse ruling.

If the court or other authority declines to stay the effect of the demand in response to a request made in accordance with § 202.25 pending receipt of instructions, of if the court or other authority rules that the demand must be complied with irrespective of instructions not to produce the material or disclose the information sought, the employee or former employee upon whom the demand has been made shall respectfully decline to comply with the demand. “United States ex rel Touhy v. Ragen,” 340 U.S. 462.

Pt. 205PART 205—ADMINISTRATIVE PROCEDURES AND SANCTIONSSubpart A—General ProvisionsSec.205.1Purpose and scope.205.2Definitions.205.3Appearance before the DOE or a State Office.205.4Filing of documents.205.5Computation of time.205.6Extension of time.205.7Service.205.8Subpoenas, special report orders, oaths, witnesses.205.9General filing requirements.205.10Effective date of orders.205.11Order of precedence.205.12Addresses for filing documents with the DOE.205.13Where to file.205.14Ratification of prior directives, orders, and actions.205.15Public docket room.Subparts B-E—[Reserved]Subpart F—Interpretation205.80Purpose and scope.205.81What to file.205.82Where to file.205.83Contents.205.84DOE evaluation.205.85Decision and effect.205.86Appeal.Subparts G-J—[Reserved]Subpart K—Rulings205.150Purpose and scope.205.151Criteria for issuance.205.152Modification or rescission.205.153Comments.205.154Appeal.Subpart L—[Reserved]Subpart M—Conferences, Hearings, and Public Hearings205.170Purpose and scope.205.171Conferences.205.172Hearings.205.173Public hearings.Subpart N—[Reserved]Subpart O—Notice of Probable Violation, Remedial Order, Notice of Proposed Disallowance, and Order of Disallowance205.190Purpose and scope.205.191[Reserved]205.192Proposed remedial order.205.192ABurden of proof.205.193Notice of Objection.205.193ASubmission of ERA supplemental information.205.194Participants; official service list.205.195Filing and service of all submissions.205.196Statement of objections.205.197Response to statement of objections; reply.205.198Discovery.205.198AProtective order.205.199Evidentiary hearing.205.199AHearing for the purpose of oral argument only.205.199BRemedial order.205.199CAppeals of remedial order to FERC.205.199D—205.199E[Reserved]205.199FEx parte communications.205.199GExtension of time; Interim and Ancillary Orders. 205.199HActions not subject to administrative appeal.205.199IRemedies.205.199JConsent order.Subparts P-T—[Reserved]Subpart U—Procedures for Electricity Export Cases205.260Purpose and scope.205.261—205.269[Reserved]205.270Off-the-record communications.Subpart V—Special Procedures for Distribution of Refunds205.280Purpose and scope.205.281Petition for implementation of special refund procedures.205.282Evaluation of petition by the Office of Hearings and Appeals.205.283Applications for refund.205.284Processing of applications.205.285Effect of failure to file a timely application.205.286Limitations on amount of refunds.205.287Escrow accounts, segregated funds and other guarantees.205.288Interim and ancillary orders.Subpart W—Electric Power System Permits and Reports; Applications; Administrative Procedures and SanctionsApplication for Authorization to Transmit Electric Energy to a Foreign Country205.300Who shall apply.205.301Time of filing.205.302Contents of application.205.303Required exhibits.205.304Other information.205.305Transferability.205.306Authorization not exclusive.205.307Form and style; number of copies.205.308Filing schedule and annual reports.205.309Filing procedures and fees.Application for Presidential Permit Authorizing the Construction, Connection, Operation, and Maintenance of Facilities for Transmission of Electric Energy at International Boundaries205.320Who shall apply.205.321Time of filing.205.322Contents of application.205.323Transferability.205.324Form and style; number of copies.205.325Annual report.205.326Filing procedures and fees.205.327Other information.205.328Environmental requirements for Presidential Permits—Alternative 1.205.329Environmental requirements for Presidential Permits—Alternative 2.Report of Major Electric Utility System Emergencies205.350General purpose.205.351Reporting requirements.205.352Information to be reported.205.353Special investigation and reports.Emergency Interconnection of Electric Facilities and the Transfer of Electricity to Alleviate an Emergency Shortage of Electric Power205.370Applicability.205.371Definition of emergency.205.372Filing procedures; number of copies.205.373Application procedures.205.374Responses from “entities” designated in the application.205.375Guidelines defining inadequate fuel or energy supply.205.376Rates and charges.205.377Reports.205.378Disconnection of temporary facilities.205.379Application for approval of the installation of permanent facilities for emergency use only.Authority:

This part establishes the procedures to be utilized and identifies the sanctions that are available in proceedings before the Department of Energy and State Offices, in accordance with parts 209 through 214 of this chapter. Any exception, exemption, appeal, stay, modification, recession, redress or resolution of private grievance sought under the authority of 42 U.S.C. 7194 shall be governed by the procedural rules set forth in 10 CFR part 1003.

[61 FR 35114, July 5, 1996]§ 205.2Definitions.

The definitions set forth in other parts of this chapter shall apply to this part, unless otherwise provided. In addition, as used in this part, the term:

Action means an order, interpretation, notice of probable violation or ruling issued, or a rulemaking undertaken by the DOE or, as appropriate, by a State Office.

Adjustment means a modification of the base period volume or other measure of allocation entitlement in accordance with part 211 of this chapter.

Aggrieved, for purposes of administrative proceedings, describes and means a person with an interest sought to be protected under the FEAA, EPAA, or Proclamation No. 3279, as amended, who is adversely affected by an order or interpretation issued by the DOE or a State Office.

Appropriate Regional Office or appropriate State Office means the office located in the State or DOE region in which the product will be physically delivered.

Assignment means an action designating that an authorized purchaser be supplied at a specified entitlement level by a specified supplier.

Conference means an informal meeting, incident to any proceeding, between DOE or State officials and any person aggrieved by that proceeding.

Consent order means a document of agreement between DOE and a person prohibiting certain acts, requiring the performance of specific acts or including any acts which DOE could prohibit or require pursuant to § 205.195.

Duly authorized representative means a person who has been designated to appear before the DOE or a State Office in connection with a proceeding on behalf of a person interested in or aggrieved by that proceeding. Such appearance may consist of the submission of applications, petitions, requests, statements, memoranda of law, other documents, or of a personal appearance, verbal communication, or any other participation in the proceeding.

Federal legal holiday means New Year's Day, Washington's Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans' Day, Thanksgiving Day, Christmas Day, and any other day appointed as a national holiday by the President or the Congress of the United States.

Interpretation means a written statement issued by the General Counsel or his delegate or Regional Counsel, in response to a written request, that applies the regulations, rulings, and other precedents previously issued, to the particular facts of a prospective or completed act or transaction.

Notice of probable violation means a written statement issued to a person by the DOE that states one or more alleged violations of the provisions of this chapter or any order issued pursuant thereto.

Order means a written directive or verbal communication of a written directive, if promptly confirmed in writing, issued by the DOE or a State Office. It may be issued in response to an application, petition or request for DOE action or in response to an appeal from an order, or it may be a remedial order or other directive issued by the DOE or a State Office on its own initiative. A notice of probable violation is not an order. For purposes of this definition a “written directive” shall include telegrams, telecopies and similar transcriptions.

Proceeding means the process and activity, and any part thereof, instituted by the DOE or a State Office, either on its own initiative or in response to an application, complaint, petition or request submitted by a person, that may lead to an action by the DOE or a State Office.

Remedial order means a directive issued by the DOE requiring a person to cease a violation or to eliminate or to compensate for the effects of a violation, or both.

Ruling means an official interpretative statement of general applicability issued by the DOE General Counsel and published in the Federal Register that applies the DOE regulations to a specific set of circumstances.

State Office means a State Office of Petroleum Allocation certified by the DOE upon application pursuant to part 211 of this chapter.

Throughout this part the use of a word or term in the singular shall include the plural and the use of the male gender shall include the female gender.

(a) A person may make an appearance, including personal appearances in the discretion of the DOE, and participate in any proceeding described in this part on his own behalf or by a duly authorized representative. Any application, appeal, petition, request or complaint filed by a duly authorized representative shall contain a statement by such person certifying that he is a duly authorized representative, unless a DOE form requires otherwise. Falsification of such certification will subject such person to the sanctions stated in 18 U.S.C. 1001 (1970).

(b) Suspension and disqualification: The DOE or a State Office may deny, temporarily or permanently, the privilege of participating in proceedings, including oral presentation, to any individual who is found by the DOE—

(1) To have made false or misleading statements, either verbally or in writing;

(2) To have filed false or materially altered documents, affidavits or other writings;

(3) To lack the specific authority to represent the person seeking a DOE or State Office action; or

(4) To have engaged in or to be engaged in contumacious conduct that substantially disrupts a proceeding.

§ 205.4Filing of documents.

(a) Any document, including, but not limited to, an application, request, complaint, petition and other documents submitted in connection therewith, filed with the DOE or a State Office under this chapter is considered to be filed when it has been received by the DOE National Office, a Regional Office or a State Office. Documents transmitted to the DOE must be addressed as required by § 205.12. All documents and exhibits submitted become part of an DOE or a State Office file and will not be returned.

(b) Notwithstanding the provisions of paragraph (a) of this section, an appeal, a response to a denial of an appeal or application for modification or recision in accordance with §§ 205.106(a)(3) and 205.135(a)(3), respectively, a reply to a notice of probable violation, the appeal of a remedial order or remedial order for immediate compliance, a response to denial of a claim of confidentiality, or a comment submitted in connection with any proceeding transmitted by registered or certified mail and addressed to the appropriate office is considered to be filed upon mailing.

(c) Hand-delivered documents to be filed with the Office of Exceptions and Appeals shall be submitted to Room 8002 at 2000 M Street, NW., Washington, D.C. All other hand-delivered documents to be filed with the DOE National Office shall be submitted to the Executive Secretariat at 12th and Pennsylvania Avenue, NW., Washington, D.C. Hand-delivered documents to be filed with a Regional Office shall be submitted to the Office of the Regional Administrator. Hand-delivered documents to be filed with a State Office shall be submitted to the office of the chief executive officer of such office.

(d) Documents received after regular business hours are deemed filed on the next regular business day. Regular business hours for the DOE National Office are 8 a.m. to 4:30 p.m. Regular business hours for a Regional Office or a State Office shall be established independently by each.

§ 205.5Computation of time.

(a) Days. (1) Except as provided in paragraph (b) of this section, in computing any period of time prescribed or allowed by these regulations or by an order of the DOE or a State Office, the day of the act, event, or default from which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included unless it is a Saturday, Sunday, or Federal legal holiday in which event the period runs until the end of the next day that is neither a Saturday, Sunday, nor a Federal legal holiday.

(2) Saturdays, Sundays or intervening Federal legal holidays shall be excluded from the computation of time when the period of time allowed or prescribed is 7 days or less.

(b) Hours. If the period of time prescribed in an order issued by the DOE or a State Office is stated in hours rather than days, the period of time shall begin to run upon actual notice of such order, whether by verbal or written communication, to the person directly affected, and shall run without interruption, unless otherwise provided in the order, or unless the order is stayed, modified, suspended or rescinded. When a written order is transmitted by verbal communication, the written order shall be served as soon thereafter as is feasible.

(c) Additional time after service by mail. Whenever a person is required to perform an act, to cease and desist therefrom, or to initiate a proceeding under this part within a prescribed period of time after issuance to such person of an order, notice, interpretation or other document and the order, notice, interpretation or other document is served by mail, 3 days shall be added to the prescribed period.

§ 205.6Extension of time.

When a document is required to be filed within a prescribed time, an extension of time to file may be granted by the office with which the document is required to be filed upon good cause shown.

§ 205.7Service.

(a) All orders, notices, interpretations or other documents required to be served under this part shall be served personally or by registered or certified mail or by regular United States mail (only when service is effected by the DOE or a State Office), except as otherwise provided.

(b) Service upon a person's duly authorized representative shall constitute service upon that person.

(c) Service by registered or certified mail is complete upon mailing. Official United States Postal Service receipts from such registered or certified mailing shall constitute prima facie evidence of service.

§ 205.8Subpoenas, special report orders, oaths, witnesses.

(a) In this section the following terms have the definitions indicated unless otherwise provided.

(1) “DOE Official” means the Secretary of the Department of Energy, the Administrator of the Economic Regulatory Administration, the Administrator of Energy Information Administration, the General Counsel of the Department of Energy, the Special Counsel for Compliance, the Assistant Administrator for Enforcement, the Director of the Office of Hearings and Appeals, or the duly authorized delegate of any of the foregoing officials.

(2) “SRO” means a Special Report Order issued pursuant to paragraph (b) of this section.

(b) (1) In accordance with the provisions of this section and as otherwise authorized by law, a DOE Official may sign, issue and serve subpoenas; administer oaths and affirmations; take sworn testimony; compel attendance of and sequester witnesses; control dissemination of any record of testimony taken pursuant to this section; subpoena and reproduce books, papers, correspondence, memoranda, contracts agreements, or other relevant records or tangible evidence including, but not limited to, information retained in computerized or other automated systems in possession of the subpoenaed person. Unless otherwise provided by Subpart O, the provisions of this section apply to subpoenas issued by the office of Hearings and Appeals with respect to matters in proceedings before it.

(2) A DOE Official may issue a Special Report Order requiring any person subject to the jurisdiction of the ERA to file a special report providing information relating to DOE regulations, including but not limited to written answers to specific questions. The SRO may be in addition to any other reports required by this chapter.

(3) The DOE Official who issues a subpoena or SRO pursuant to this section, for good cause shown, may extend the time prescribed for compliance with the subpoena or SRO and negotiate and approve the terms of satisfactory compliance.

(4) Prior to the time specified for compliance, but in no event more than 10 days after the date of service of the subpoena or SRO, the person upon whom the document was served may file a request for review of the subpoena or SRO with the DOE Official who issued the document. The DOE Official then shall forward the request to his supervisor who shall provide notice of receipt to the person requesting review. The supervisor or his designee may extend the time prescribed for compliance with the subpoena or SRO and negotiate and approve the terms of satisfactory compliance.

(5) If the subpoena or SRO is not modified or rescinded within 10 days of the date of the supervisor's notice of receipt, (i) the subpoena or SRO shall be effective as issued; and (ii) the person upon whom the document was served shall comply with the subpoena or SRO within 20 days of the date of the supervisor's notice of receipt, unless otherwise notified in writing by the supervisor or his designee.

(6) There is no administrative appeal of a subpoena or SRO.

(c) (1) A subpoena or SRO shall be served upon a person named in the document by delivering a copy of the document to the person named.

(2) Delivery of a copy of the document to a natural person may be made by:

(i) Handing it to the person;

(ii) Leaving it at the person's office with the person in charge of the office;

(iii) Leaving it at the person's dwelling or usual place of abode with a person of suitable age and discretion who resides there;

(iv) Mailing it to the person by registered or certified mail, at his last known address; or

(v) Any method that provides the person with actual notice prior to the return date of the document.

(3) Delivery of a copy of the document to a person who is not a natural person may be made by:

(i) Handing it to a registered agent of the person;

(ii) Handing it to any officer, director, or agent in charge of any office of such person;

(iii) Mailing it to the last known address of any registered agent, officer, director, or agent in charge of any office of the person by registered or certified mail, or

(iv) Any method that provides any registered agent, officer, director, or agent in charge of any office of the person with actual notice of the document prior to the return date of the document.

(d)(1) A witness subpoenaed by the DOE shall be paid the same fees and mileage as paid to a witness in the district courts of the United States.

(2) If in the course of a proceeding conducted pursuant to subpart M or O, a subpoena is issued at the request of a person other than an officer or agency of the United States, the witness fees and mileage shall be paid by the person who requested the subpoena. However, at the request of the person, the witness fees and mileage shall be paid by the DOE if the person shows:

(i) The presence of the subpoenaed witness will materially advance the proceeding; and

(ii) The person who requested that the subpoena be issued would suffer a serious hardship if required to pay the witness fees and mileage. The DOE Official issuing the subpoena shall make the determination required by this subsection.

(e) If any person upon whom a subpoena or SRO is served pursuant to this section, refuses or fails to comply with any provision of the subpoena or SRO, an action may be commenced in the United States District Court to enforce the subpoena or SRO.

(f) (1) Documents produced in response to a subpoena shall be accompanied by the sworn certification, under penalty of perjury, of the person to whom the subpoena was directed or his authorized agent that (i) a diligent search has been made for each document responsive to the subpoena, and (ii) to the best of his knowledge, information, and belief each document responsive to the subpoena is being produced unless withheld on the grounds of privilege pursuant to paragraph (g) of this section.

(2) Any information furnished in response to an SRO shall be accompanied by the sworn certification under penalty of perjury of the person to whom it was directed or his authorized agent who actually provides the information that (i) a diligent effort has been made to provide all information required by the SRO, and (ii) all information furnished is true, complete, and correct unless withheld on grounds of privilege pursuant to paragraph (g) of this section.

(3) If any document responsive to a subpoena is not produced or any information required by an SRO is not furnished, the certification shall include a statement setting forth every reason for failing to comply with the subpoena or SRO.

(g) If a person to whom a subpoena or SRO is directed withholds any document or information because of a claim of attorney-client or other privilege, the person submitting the certification required by paragraph (f) of this section also shall submit a written list of the documents or the information withheld indicating a description of each document or information, the date of the document, each person shown on the document as having received a copy of the document, each person shown on the document as having prepared or been sent the document, the privilege relied upon as the basis for withholding the document or information, and an identification of the person whose privilege is being asserted.

(h)(1) If testimony is taken pursuant to a subpoena, the DOE Official shall determine whether the testimony shall be recorded and the means by which the testimony is recorded.

(2) A witness whose testimony is recorded may procure a copy of his testimony by making a written request for a copy and paying the appropriate fees. However, the DOE official may deny the request for good cause. Upon proper identification, any witness or his attorney has the right to inspect the official transcript of the witness’ own testimony.

(i) The DOE Official may sequester any person subpoenaed to furnish documents or give testimony. Unless permitted by the DOE Official, neither a witness nor his attorney shall be present during the examination of any other witnesses.

(j)(1) Any witness whose testimony is taken may be accompanied, represented and advised by his attorney as follows:

(i) Upon the initiative of the attorney or witness, the attorney may advise his client, in confidence, with respect to the question asked his client, and if the witness refuses to answer any question, the witness or his attorney is required to briefly state the legal grounds for such refusal; and

(ii) If the witness claims a privilege to refuse to answer a question on the grounds of self-incrimination, the witness must assert the privilege personally.

(k) The DOE Official shall take all necessary action to regulate the course of testimony and to avoid delay and prevent or restrain contemptuous or obstructionist conduct or contemptuous language. DOE may take actions as the circumstances may warrant in regard to any instances where any attorney refuses to comply with directions or provisions of this section.

(a) Purpose and scope. The provisions of this section shall apply to all documents required or permitted to be filed with the DOE or with a State Office.

(b) Signing. All applications, petitions, requests, appeals, comments or any other documents that are required to be signed, shall be signed by the person filing the document or a duly authorized representative. Any application, appeal, petition, request, complaint or other document filed by a duly authorized representative shall contain a statement by such person certifying that he is a duly authorized representative, unless an DOE form other wise requires. (A false certification is unlawful under the provisions of 18 U.S.C. 1001 (1970)).

(c) Labeling. An application, petition, or other request for action by the DOE or a State Office should be clearly labeled according to the nature of the action involved (e.g., “Application for Assignment”) both on the document and on the outside of the envelope in which the document is transmitted.

(d) Obligation to supply information. A person who files an application, petition, complaint, appeal or other request for action is under a continuing obligation during the proceeding to provide the DOE or a State Office with any new or newly discovered information that is relevant to that proceeding. Such information includes, but is not limited to, information regarding any other application, petition, complaint, appeal or request for action that is subsequently filed by that person with any DOE office or State Office.

(e) The same or related matters. A person who files an application, petition, complaint, appeal or other request for action by the DOE or a State Office shall state whether, to the best knowledge of that person, the same or related issue, act or transaction has been or presently is being considered or investigated by any DOE office, other Federal agency, department or instrumentality; or by a State Office, a state or municipal agency or court; or by any law enforcement agency; including, but not limited to, a consideration or investigation in connection with any proceeding described in this part. In addition, the person shall state whether contact has been made by the person or one acting on his behalf with any person who is employed by the DOE or any State Office with regard to the same issue, act or transaction or a related issue, act or transaction arising out of the same factual situation; the name of the person contacted; whether the contact was verbal or in writing; the nature and substance of the contact; and the date or dates of the contact.

(f) Request for confidential treatment. (1) If any person filing a document with the DOE or a State Office claims that some or all the information contained in the document is exempt from the mandatory public disclosure requirements of the Freedom of Information Act (5 U.S.C. 552 (1970)), is information referred to in 18 U.S.C. 1905 (1970), or is otherwise exempt by law from public disclosure, and if such person requests the DOE or a State Office not to disclose such information, such person shall file together wiht the document a second copy of the document from which has been deleted the information for which such person wishes to claim confidential treatment. The person shall indicate in the original document that it is confidential or contains confidential information and may file a statement specifying the justification for non-disclosure of the information for which confidential treatment is claimed. If the person states that the information comes within the exception in 5 U.S.C. 552(b)(4) for trade secrets and commercial or financial information, such person shall include a statement specifying why such information is privileged or confidential. If the person filing a document does not submit a second copy of the document with the confidential information deleted, the DOE or a State Office may assume that there is no objection to public disclosure of the document in its entirety.

(2) The DOE or a State Office retains the right to make its own determination with regard to any claim of confidentiality. Notice of the decision by the DOE or a State Office to deny such claim, in whole or in part, and an opportunity to respond shall be given to a person claiming confidentiality of information no less than five days prior to its public disclosure.

(g) Separate applications, petitions or requests. Each application, petition or request for DOE action shall be submitted as a separate document, even if the applications, petitions, or requests deal with the same or a related issue, act or transaction, or are submitted in connection with the same proceeding.

§ 205.10Effective date of orders.

Any order issued by the DOE or a State Office under this chapter is effective as against all persons having actual notice thereof upon issuance, in accordance with its terms, unless and until it is stayed, modified, suspended, or rescinded. An order is deemed to be issued on the date, as specified in the order, on which it is signed by an authorized representative of the DOE or a State Office, unless the order provides otherwise.

§ 205.11Order of precedence.

(a) If there is any conflict or inconsistency between the provisions of this part and any other provision of this chapter, the provisions of this part shall control with respect to procedure.

(b) Notwithstanding paragraph (a) of this section, subpart I of part 212 of this chapter shall control with respect to prenotification and reporting and subpart J of part 212 of this chapter shall control with respect to accounting and financial reporting requirements.

§ 205.12Addresses for filing documents with the DOE.

(a) All applications, requests, petitions, appeals, reports, DOE or FEO forms, written communications and other documents to be submitted to or filed with the DOE National Office in accordance with this chapter shall be addressed as provided in this section. The DOE National Office has facilities for the receipt of transmissions via TWX and FAX. The FAX is a 3M full duplex 4 or 6 minute (automatic) machine.

(1) Documents for which a specific address and/or code number is not provided in accordance with paragraphs (a)(2) through (7) of this section, shall be addressed as follows: Department of Energy, Attn: (name of person to receive document, if known, or subject), Washington, DC 20461.

(2) Documents to be filed with the Office of Exceptions and Appeals, as provided in this part or otherwise, shall be addressed as follows. Office of Exceptions and Appeals, Department of Energy, Attn: (name of person to receive document, if known, and/or labeling as specified in § 205.9(c)), Washington, DC 20461.

(3) Documents to be filed with the Office of General Counsel, as provided in this part or otherwise, shall be addressed as follows: Office of the General Counsel, U.S. Department of Energy, Attn: (name of person to receive document, if known, and labeling as specified in § 205.9(c)), 1000 Independence Avenue, Washington, DC 20585.

(4) Documents to be filed with the Office of Private Grievances and Redress, as provided in this part or otherwise, shall be addressed as follows: Office of Private Grievances and Redress, Department of Energy, Attn: (name of person to receive document, if known and/or labeling as specified in § 205.9(c)), Washington, DC 20461.

(5) All other documents filed, except those concerning price (see paragraph (a)(6) of this section), those designated as DOE or FEO forms (see paragraph (a)(7) of this section), and “Surplus Product Reports” (see paragraph (a)(8) of this section), but including those pertaining to compliance and allocation (adjustment and assignment) of allocated products, are to be identified by one of the code numbers stated below and addressed as follows: Department of Energy, Code——, labeling as specified in § 205.9(c), Washington, DC 20461.

(6) Documents pertaining to the price of covered products, except those to be submitted to other offices as provided in this part, shall be addressed to the Department of Energy, Code 1000, Attn: (name of person to receive document, if known, and/or labeling as specified in § 205.9(c)), Washington, DC 20461.

(7) Documents designated as DOE or FEO forms shall be submitted in accordance with the instructions stated in the form.

(9) Documents to be filed with the Director of Oil Imports, as provided in this part or otherwise, shall be addressed as follows: Director of Oil Imports, Department of Energy, P.O. Box 7414, Washington, DC 20044.

(b) All reports, applications, requests, notices, complaints, written communications and other documents to be submitted to or filed with an DOE Regional Office in accordance with this chapter shall be directed to one of the following addresses, as appropriate:

(a) Except as otherwise specifically provided in other subparts of this part, all documents to be filed with the ERA pursuant to this part shall be filed with the appropriate ERA Regional Office (unless otherwise specified in part 211 of this chapter), except that all documents shall be filed with the ERA National Office that relate to:

(1) The allocation and pricing of crude oil pursuant to subpart C of part 211 and part 212 of this chapter;

(2) Refinery yield controls pursuant to subpart C of part 211 of this chapter;

(3) The pricing of propane, butane and natural gasoline pursuant to part 212 of this chapter and the allocation of butane and natural gasoline pursuant to part 211 of this chapter;

(4) The allocation and pricing of middle distillate fuels pursuant to subpart G of part 211 and part 212 of this chapter, filed by electric utilities;

(5) The allocation and pricing of aviation fuel pursuant to subpart H of part 211 and part 212 of this chapter, filed by civil air carriers (except air taxi/commercial operators);

(6) The allocation and pricing of residual fuel oil pursuant to subpart I of part 211 and part 212 of this chapter, filed by electric utilities;

(7) The allocation and pricing of naphtha and gas oil pursuant to subpart J of part 211 and part 212 of this chapter;

(8) The allocation and pricing of other products pursuant to subpart K of part 211 and part 212 of this chapter;

(9) An application for an exemption under subpart E of this part; requests for a rulemaking proceeding under subpart L of this part or for the issuance of a ruling under subpart K of this part; and petitions to the Office of Private Grievances and Redress under subpart R of this part;

(10) The pricing of products pursuant to part 212 of this chapter, filed by a refiner; and

(11) The allocation of crude oil and other allocated products to meet Department of Defense needs pursuant to part 211 of this chapter.

(12) The allocation of crude oil and other allocated products to be utilized as feedstock in a synthetic natural gas plant, pursuant to § 211.29.

(13) Allocations, fee-paid and fee-exempt licenses issued pursuant to part 213 of this chapter.

(b) Applications by end-users and wholesale purchasers for an allocation under the state set-aside system in accordance with § 211.17 shall be filed with the appropriate State Office.

(c) Applications to a State Office or a DOE Regional Office shall be directed to the office located in the state or region in which the allocated product will be physically delivered. An applicant doing business in more than one state or region must apply separately to each State or region in which a product will be physically delivered, unless the State Offices or Regional Offices involved agree otherwise.

All interpretations, orders, notices of probable violation or other directives issued, all proceedings initiated, and all other actions taken in accordance with part 205 as it existed prior to the effective date of this amendment, are hereby confirmed and ratified, and shall remain in full force and effect as if issued under this amended part 205, unless or until they are altered, amended, modified or rescinded in accordance with the provisions of this part.

§ 205.15Public docket room.

There shall be established at the DOE National Office, 12th and Pennsylvania Avenue, NW., Washington, DC, a public docket room in which shall be made available for public inspection and copying:

(a) A list of all persons who have applied for an exception, an exemption, or an appeal, and a digest of each application;

(b) Each decision and statement setting forth the relevant facts and legal basis of an order, with confidential information deleted, issued in response to an application for an exception or exemption or at the conclusion of an appeal;

(c) The comments received during each rulemaking proceeding, with a verbatim transcript of the public hearing if such a public hearing was held; and

(d) Any other information required by statute to be made available for public inspection and copying, and any information that the DOE determines should be made available to the public.

(a) This subpart establishes the procedures for the filing of a formal request for an interpretation and for the consideration of such request. Responses, which may include verbal or written responses to general inquiries or to other than formal written requests for interpretation filed with the General Counsel or his delegate or a Regional Counsel, are not interpretations and merely provide general information.

(b) A request for interpretation that includes, or could be construed to include an application for an exception or an exemption may be treated solely as a request for interpretation and processed as such.

(a) A person filing under this subpart shall file a “Request for Interpretation,” which should be clearly labeled as such both on the request and on the outside of the envelope in which the request is transmitted, and shall be in writing and signed by the person filing the request. The person filing the request shall comply with the general filing requirements stated in § 205.9 in addition to the requirements stated in this subpart.

(b) If the person filing the request wishes to claim confidential treatment for any information contained in the request or other documents submitted under this subpart, the procedures set out in § 205.9(f) shall apply.

§ 205.82Where to file.

A request for interpretation shall be filed with the General Counsel or his delegate or with the appropriate Regional Counsel at the address provided in § 205.12.

(a) The request shall contain a full and complete statement of all relevant facts pertaining to the circumstances, act or transaction that is the subject of the request and to the DOE action sought. Such facts shall include the names and addresses of all affected persons (if reasonably ascertainable) and a full discussion of the pertinent provisions and relevant facts contained in the documents submitted with the request. Copies of all relevant contracts, agreements, leases, instruments, and other documents shall be submitted with the request. When the request pertains to only one step of a larger integrated transaction, the facts, circumstances, and other relevant information pertaining to the entire transaction must be submitted.

(b) The request for interpretation shall include a discussion of all relevant authorities, including, but not limited to, DOE rulings, regulations, interpretations and decisions on appeals and exceptions relied upon to support the particular interpretation sought therein.

§ 205.84DOE evaluation.

(a) Processing. (1) The DOE may initiate an investigation of any statement in a request and utilize in its evaluation any relevant facts obtained by such investigation. The DOE may accept submissions from third persons relevant to any request for interpretation provided that the person making the request is afforded an opportunity to respond to all third person submissions. In evaluating a request for interpretation, the DOE may consider any other source of information. The DOE on its own initiative may convene a conference, if, in its discretion, it considers that such conference will advance its evaluation of the request.

(2) The DOE shall issue its interpretation on the basis of the information provided in the request, unless that information is supplemented by other information brought to the attention of the General Counsel or a Regional Counsel during the proceeding. The interpretation shall, therefore, depend for its authority on the accuracy of the factual statement and may be relied upon only to the extent that the facts of the actual situation correspond to those upon which the interpretation was based.

(3) If the DOE determines that there is insufficient information upon which to base a decision and if upon request additional information is not submitted by the person requesting the interpretation, the DOE may refuse to issue an interpretation.

(b) Criteria. (1) The DOE shall base an interpretation on the FEA and EPAA and the regulations and published rulings of the DOE as applied to the specific factual situation.

(2) The DOE shall take into consideration previously issued interpretations dealing with the same or a related issue.

§ 205.85Decision and effect.

(a) An interpretation may be issued after consideration of the request for interpretation and other relevant information received or obtained during the proceeding.

(b) The interpretation shall contain a statement of the information upon which it is based and a legal analysis of and conclusions regarding the application of rulings, regulations and other precedent to the situation presented in the request.

(c) Only those persons to whom an interpretation is specifically addressed and other persons upon whom the DOE serves the interpretation and who are directly involved in the same transaction or act may rely upon it. No person entitled to rely upon an interpretation shall be subject to civil or criminal penalties stated in subpart P of this part for any act taken in reliance upon the interpretation, notwithstanding that the interpretation shall thereafter be declared by judicial or other competent authority to be invalid.

(d) An interpretation may be rescinded or modified at any time. Rescission or modification may be effected by notifying persons entitled to rely on the interpretation that it is rescinded or modified. This notification shall include a statement of the reasons for the recision or modification and, in the case of a modification, a restatement of the interpretation as modified.

(e) An interpretation is modified by a subsequent amendment to the regulations or ruling to the extent that it is inconsistent with the amended regulation or ruling.

(f)(1) Any person aggrieved by an interpretation may submit a petition for reconsideration to the General Counsel within 30 days of service of the interpretation from which the reconsideration is sought. There has not been an exhaustion of administrative remedies until a period of 30 days from the date of service of the interpretation has elapsed without receipt by the General Counsel of a petition for reconsideration or, if a petition for reconsideration of the interpretation has been filed in a timely manner, until that petition has been acted on by the General Counsel. However, a petition to which the General Counsel does not respond within 60 days of the date of receipt thereof, or within such extended time as the General Counsel may prescribe by written notice to the petitioner concerned within that 60 day period, shall be considered denied.

(2) A petition for reconsideration may be summarily denied if—

(i) It is not filed in a timely manner, unless good cause is shown; or

(ii) It is defective on its face for failure to state, and to present facts and legal argument in support thereof, that the interpretation was erroneous in fact or in law, or that it was arbitrary or capricious.

(3) The General Counsel may deny any petition for reconsideration if the petitioner does not establish that—

(i) The petition was filed by a person aggrieved by an interpretation;

(ii) The interpretation was erroneous in fact or in law; or

(iii) The interpretation was arbitrary or capricious. The denial of a petition shall be a final order of which the petitioner may seek judicial review.

This subpart establishes the criteria for the issuance of interpretative rulings by the General Counsel. All rulings shall be published in the Federal Register. Any person is entitled to rely upon such ruling, to the extent provided in this subpart.

§ 205.151Criteria for issuance.

(a) A ruling may be issued, in the discretion of the General Counsel, whenever there have been a substantial number of inquiries with regard to similar factual situations or a particular section of the regulations.

(b) The General Counsel may issue a ruling whenever it is determined that it will be of assistance to the public in applying the regulations to a specific situation.

§ 205.152Modification or rescission.

(a) A ruling may be modified or rescinded by:

(1) Publication of the modification or rescission in the Federal Register; or

(2) A rulemaking proceeding in accordance with subpart L of this part.

(b) Unless and until a ruling is modified or rescinded as provided in paragraph (a) of this section, no person shall be subject to the sanctions or penalties stated in subpart P of this part for actions taken in reliance upon the ruling, notwithstanding that the ruling shall thereafter be declared by judicial or other competent authority to be invalid. Upon such declaration, no person shall be entitled to rely upon the ruling.

§ 205.153Comments.

A written comment on or objection to a published ruling may be filed at any time with the General Counsel at the address specified in § 205.12.

§ 205.154Appeal.

There is no administrative appeal of a ruling.

Subpart L—[Reserved]Subpart M—Conferences, Hearings, and Public Hearings§ 205.170Purpose and scope.

This subpart establishes the procedures for requesting and conducting a DOE conference, hearing, or public hearing. Such proceedings shall be convened in the discretion of the DOE, consistent with the requirements of the FEAA.

§ 205.171Conferences.

(a) The DOE in its discretion may direct that a conference be convened, on its own initiative or upon request by a person, when it appears that such conference will materially advance the proceeding. The determination as to who may attend a conference convened under this subpart shall be in the discretion of the DOE, but a conference will usually not be open to the public.

(b) A conference may be requested in connection with any proceeding of the DOE by any person who might be aggrieved by that proceeding. The request may be made in writing or verbally, but must include a specific showing as to why such conference will materially advance the proceeding. The request shall be addressed to the DOE office that is conducting the proceeding.

(c) A conference may only be convened after actual notice of the time, place, and nature of the conference is provided to the person who requested the conference.

(d) When a conference is convened in accordance with this section, each person may present views as to the issue or issues involved. Documentary evidence may be presented at the conference, but will be treated as if submitted in the regular course of the proceedings. A transcript of the conference will not usually be prepared. However, the DOE in its discretion may have a verbatim transcript prepared.

(e) Because a conference is solely for the exchange of views incident to a proceeding, there will be no formal reports or findings unless the DOE in its discretion determines that such would be advisable.

§ 205.172Hearings.

(a) The DOE in its discretion may direct that a hearing be convened on its own initiative or upon request by a person, when it appears that such hearing will materially advance the proceedings. The determination as to who may attend a hearing convened under this subpart shall be in the discretion of DOE, but a hearing will usually not be open to the public. Where the hearing involves a matter arising under part 213, the Director of Oil Imports shall be notified as to its time and place, in order that he or his representative may present views as to the issue or issues involved.

(b) A hearing may only be requested in connection with an application for an exception or an appeal. Such request may be by the applicant, appellant, or any other person who might be aggrieved by the DOE action sought. The request shall be in writing and shall include a specific showing as to why such hearing will materially advance the proceeding. The request shall be addressed to the DOE office that is considering the application for an exception or the appeal.

(c) The DOE will designate an agency official to conduct the hearing, and will specify the time and place for the hearing.

(d) A hearing may only be convened after actual notice of the time, place, and nature of the hearing is provided both to the applicant or appellant and to any other person readily identifiable by the DOE as one who will be aggrieved by the DOE action involved. The notice shall include, as appropriate:

(1) A statement that such person may participate in the hearing; or

(2) A statement that such person may request a separate conference or hearing regarding the application or appeal.

(e) When a hearing is convened in accordance with this section, each person may present views as to the issue or issues involved. Documentary evidence may be presented at the hearing, but will be treated as if submitted in the regular course of the proceedings. A transcript of the hearing will not usually be prepared. However, the DOE in its discretion may have a verbatim transcript prepared.

(f) The official conducting the hearing may administer oaths and affirmations, rule on the presentation of information, receive relevant information, dispose of procedural requests, determine the format of the hearing, and otherwise regulate the course of the hearing.

(g) Because a hearing is solely for the exchange of views incident to a proceeding, there will be no formal reports or findings unless the DOE in its discretion determines that such would be advisable.

(1) When the proposed rule or regulation is likely to have a substantial impact on the Nation's economy or large numbers of individuals or businesses; or

(2) When the DOE determines that a public hearing would materially advance the consideration of the issue. A public hearing may be requested by any interested person in connection with a rulemaking proceeding, but shall only be convened on the initiative of the DOE unless otherwise required by statute.

(b) A public hearing may be convened incident to any proceeding when the DOE in its discretion determines that such public hearing would materially advance the consideration of the issue.

(c) A public hearing may only be convened after publication of a notice in the Federal Register, which shall include a statement of the time, place, and nature of the public hearing.

(d) Interested persons may file a request to participate in the public hearing in accordance with the instructions in the notice published in the Federal Register. The request shall be in writing and signed by the person making the request. It shall include a description of the person's interest in the issue or issues involved and of the anticipated content of the presentation. It shall also contain a statement explaining why the person would be an appropriate spokesperson for the particular view expressed.

(e) The DOE shall appoint a presiding officer to conduct the public hearing. An agenda shall be prepared that shall provide, to the extent practicable, for the presentation of all relevant views by competent spokespersons.

(f) A verbatim transcript shall be made of the hearing. The transcript, together with any written comments submitted in the course of the proceeding, shall be made available for public inspection and copying in the public docket room, as provided in § 205.15.

(g) The information presented at the public hearing, together with the written comments submitted and other relevant information developed during the course of the proceeding, shall provide the basis for the DOE decision.

Subpart N—[Reserved]Subpart O—Notice of Probable Violation, Remedial Order, Notice of Proposed Disallowance, and Order of DisallowanceAuthority:

(a) This subpart establishes the procedures for determining the nature and extent of violations of the DOE regulations in parts 210, 211, and 212 and the procedures for issuance of a Notice of Probable Violation, a Proposed Remedial Order, a Remedial Order, an Interim Remedial Order for Immediate Compliance, a Remedial Order for Immediate Compliance, a Notice of Probable Disallowance, a Proposed Order of Disallowance, an Order of Disallowance, or a Consent Order. Nothing in these regulations shall affect the authority of DOE enforcement officials in coordination with the Department of Justice to initiate appropriate civil or criminal enforcement actions in court at any time.

(b) When any report required by the ERA or any audit or investigation discloses, or the ERA otherwise discovers, that there is reason to believe a violation of any provision of this chapter, or any order issued thereunder, has occurred, is continuing or is about to occur, the ERA may conduct an inquiry to determine the nature and extent of the violation. A Remedial Order or Order of Disallowance may be issued thereafter by the Office of Hearings and Appeals. The ERA may commence enforcement proceedings by serving a Notice of Probable Violation, a Notice of Probable Disallowance, a Proposed Remedial Order, a Proposed Order of Disallowance, or an Interim Remedial Order for Immediate Compliance.

§ 205.191[Reserved]§ 205.192Proposed remedial order.

(a) If the ERA finds, after the 30-day or other period authorized for reply to the Notice of Probable Violation, that a violation has occurred, is continuing, or is about to occur, it may issue a Proposed Remedial Order, which shall set forth the relevant facts and law.

(b) The ERA may issue a Proposed Remedial Order at any time it finds that a violation has occurred, is continuing, or is about to occur even if it has not previously issued a Notice of Probable Violation.

(c) The ERA shall serve a copy of the Proposed Remedial Order upon the person to whom it is directed. The ERA shall promptly publish a notice in the Federal Register which states the person to whom the Proposed Remedial Order is directed, his address, and the products, dollar amounts, time period, and geographical area specified in the Proposed Remedial Order. The notice shall indicate that a copy of the Proposed Remedial Order with confidential information, if any, deleted may be obtained from the ERA and that within 15 days after the date of publication any aggrieved person may file a Notice of Objection with the Office of Hearings and Appeals of accordance with § 205.193. The ERA shall mail copies of the Federal Register notice to all readily identifiable persons who are likely to be aggrieved by issuance of the Proposed Remedial Order as a final order.

(d) The Proposed Remedial Order shall set forth the proposed findings of fact and conclusions of law upon which it is based. It shall also include a discussion of the relevant authorities which support the position asserted, including rules, regulations, rulings, interpretations and previous decisions issued by DOE or its predecessor agencies. The Proposed Remedial Order shall be accompaned by a declaration executed by the DOE employee primarily knowledgeable about the facts of the case stating that, to the best of declarant's knowledge and belief, the findings of fact are correct.

(e) The ERA may amend or withdraw a Proposed Remedial Order at its discretion prior to the date of service of a Statement of Objections in that proceeding. The date of service of the amended documents shall be considered the date of service of the Proposed Remedial Order in calculating the time periods specified in this part 205.

§ 205.192ABurden of proof.

(a) In a Proposed Remedial Order proceeding the ERA has the burden of establishing a prima facie case as to the validity of the findings of fact and conclusions of law asserted therein. The ERA shall be deemed to meet this burden by the service of a Proposed Remedial Order that meets the requirements of § 205.192(d) and any supplemental information that may be made available under § 205.193A.

(b) Once a prima facie case has been established, a person who objects to a finding of fact or conclusion of law in the Proposed Remedial Order has the burden of going forward with the evidence. Furthermore, the proponent of additional factual representations has the burden of going forward with the evidence.

(c) Unless otherwise specified by the Director of the Office of Hearings and Appeals or his designee, the proponent of an order or a motion or additional factual representations has the ultimate burden of persuasion.

§ 205.193Notice of Objection.

(a) Within 15 days after publication of the notice of a Proposed Remedial Order in the Federal Register any aggrieved person may file a Notice of Objection to the Proposed Remedial Order with the Office of Hearings and Appeals. The Notice shall be filed in duplicate, shall briefly describe how the person would be aggrieved by issuance of the Proposed Remedial Order as a final order and shall state the person's intention to file a Statement of Objections. No confidential information shall be included in a Notice of Objection. The DOE shall place one copy of the Notice in the Office of Hearings and Appeals Public Docket Room.

(b) A person who fails to file a timely Notice of Objection shall be deemed to have admitted the findings of fact and conclusions of law as stated in the Proposed Remedial Order. If a Notice of Objection is not filed as provided by paragraph (a) of this section, the Proposed Remedial Order may be issued as a final order.

(c) A person who files a Notice of Objection shall on the same day serve a copy of the Notice upon the person to whom the Proposed Remedial Order is directed, the DOE Office that issued the Proposed Remedial Order, and the DOE Assistant General Counsel for Administrative Litigation.

(d) The Notice shall include a certification of compliance with the provisions of this section, the names and addresses of each person served with a copy of the Notice, and the date and manner of service.

(e) If no person files a timely Notice of Objection, ERA may request the Office of Hearings and Appeals to issue the Proposed Remedial Order as a final Remedial Order.

(f) In order to exhaust administrative remedies with respect to a Remedial Order proceeding, a person must file a timely Notice of Objection and Statement of Objections with the Office of Hearings and Appeals.

§ 205.193ASubmission of ERA supplemental information.

Within 20 days after service of a Notice of Objection to a Proposed Remedial Order the ERA may serve, upon the person to whom the Proposed Remedial Order was directed, supplemental information relating to the calculations and determinations which support the findings of fact set forth in the Proposed Remedial Order.

§ 205.194Participants; official service list.

(a) Upon receipt of a Notice of Objection, the Office of Hearings and Appeals shall publish a notice in the Federal Register which states the person to whom the Proposed Remedial Order is directed, his address and the products, dollar amounts, time period, and geographical area specified in the Proposed Remedial Order. The notice shall state that any person who wishes to participate in the proceeding must file an appropriate request with the Office of Hearings and Appeals.

(b) The Office that issued the Proposed Remedial Order and the person to whom the Order is directed shall be considered participants before the Office of Hearings and Appeals at all stages of an enforcement proceeding. Any other person whose interest may be affected by the proceeding may file a request to participate in the proceeding with the Office of Hearings and Appeals within 20 days after publication of the notice referred to in paragraph (a) of this section. The request shall contain

(1) The person's name, address, and telephone number and similar information concerning his duly authorized representative, if any;

(2) A detailed description of the person's interest in the proceeding;

(3) The specific reasons why the person's active involvement in the proceeding will substantially contribute to a complete resolution of the issues to be considered in the proceeding;

(4) A statement of the position which the person intends to adopt in the proceeding; and

(5) A statement of the particular aspects of the proceeding, e.g. oral argument, submission of briefs, or discovery, in which the person wishes to actively participate.

(c) After considering the requests submitted pursuant to paragraph (b) of this section, the Office of Hearings and Appeals shall determine those persons who may participate on an active basis in the proceeding and the nature of their participation. Participants with similar interests may be required to consolidate their submissions and to appear in the proceeding through a common representative.

(d) Within 30 days after publication of the notice referred to in paragraph (a) of this section, the Office of Hearings and Appeals shall prepare an official service list for the proceeding. Within the same 30 day period the Office of Hearings and Appeals shall mail the official service list to all persons who filed requests to participate. For good cause shown a person may be placed on the official service list as a non-participant, for the receipt of documents only. An opportunity shall be afforded to participants to oppose the placement of a non-participant on the official service list.

(e) A person requesting to participate after the period for submitting requests has expired must show good cause for failure to file a request within the prescribed time period.

(f) The Office of Hearings and Appeals may limit the nature of a person's participation in the proceeding, if it finds that the facts upon which the person's request was based have changed or were incorrect when stated or that the person has not been actively participating or has engaged in disruptive or dilatory conduct. The action referred to in this provision shall be taken only after notice and an opportunity to be heard are afforded.

§ 205.195Filing and service of all submissions.

(a)(1) Statements of Objections, Responses to such Statements, and any motions or other documents filed in connection with a proceeding shall meet the requirements of § 205.9 and shall be filed with the Office of Hearings and Appeals in accordance with § 205.4. Unless otherwise specified, any participant may file a response to a motion within five days of service.

(2) All documents shall be filed in duplicate, unless they contain confidential information, in which case they must be filed in triplicate.

(3) If a person claims that any portion of a document which he is filing contains confidential information, such information should be deleted from two of the three copies which are filed. One copy from which confidential information has been deleted will be placed in the Office of Hearings and Appeals Public Docket Room.

(b)(1) Persons other than DOE offices shall on the date a submission is filed serve each person on the official service list. Service shall be made in accordance with § 205.7 and may also be made by deposit in the regular United States mail, properly stamped and addressed, when accompanied by proof of service consisting of a certificate of counsel or an affidavit of the person making the service. If any filing arguably contains confidential information, a person may serve copies with the confidential information deleted upon all persons on the official service list except DOE offices, which shall be served both an original filing and one with deletions.

(2) A DOE office shall on the date it files a submission serve all persons on the official service list, unless the filing arguably contains confidential information. In that case the DOE office shall notify the person to whom the information relates of the opportunity to identify and delete the confidential information. The DOE Office may delay the service of a submission containing arguably confidential information upon all persons other than the possessor of the confidential information and other DOE offices up to 14 days. The possessor of the confidential information shall serve the filing with any deletions upon all persons on the official service list within such time period.

(c) Any filing made under this section shall include a certification of compliance by the filer with the provisions of this subpart. The person serving a document shall file a certificate of service, which includes the date and manner of service for each person on the official service list.

§ 205.196Statement of objections.

(a) A person who has filed a Notice of Objection shall file a Statement of Objections to a Proposed Remedial Order within 40 days after service of the Notice of Objection. A request for an extension of time for filing must be submitted in writing and may be granted for good cause shown.

(b) The Statement of Objections shall set forth the bases for the objections to the issuance of the Proposed Remedial Order as a final order, including a specification of the issues of fact or law which the person intends to contest in any further proceeding involving the compliance matter which is the subject of the Proposed Remedial Order. The Statement shall set forth the findings of fact contained in the Proposed Remedial Order which are alleged to be erroneous, the factual basis for such allegations, and any alternative findings which are sought. The Statement shall include a discussion of all relevant authorities which support the position asserted. The Statement may include additional factual representations which are not referred to in the Proposed Remedial Order and which the person contends are material and relevant to the compliance proceeding. For each additional factual representation which the person asserts should be made, the Statement shall include reasons why the factual representation is relevant and material, and the manner in which its validity is or will be established. The person shall also specify the manner in which each additional issue of fact was raised in any prior administrative proceeding which led to issuance of the Proposed Remedial Order, or the reasons why it was not raised.

(c) A Statement of Objections that is filed by the person to whom a Proposed Remedial Order is directed shall include a copy of any relevant Notice of Probable Violation, each Response thereto, the Proposed Remedial Order, and any relevant work papers or supplemental information previously provided by ERA. Copies of this material must also be included with the copy of the Statement of Objections served upon the DOE Assistant General Counsel for Administrative Litigation. All other persons on the official service list must be notified that such materials are available from the notifier upon written request.

§ 205.197Response to statement of objections; reply.

(a) Within 30 days after service of a Statement of Objections each participant may file a Response. If any motions are served with the Statement of Objections, a participant shall have 30 days from the date of service to respond to such submissions, notwithstanding any shorter time periods otherwise required in this subpart. The Response shall contain a full discussion of the position asserted and a discussion of the legal and factual bases which support that position. The Response may also contain a request that any issue of fact or law advanced in a Statement of Objections be dismissed. Any such request shall be accompanied by a full discussion of the reasons supporting the dismissal.

(b) A participant may submit a Reply to any Response within 10 days after the date of service of the Response.

§ 205.198Discovery.

(a) If a person intends to file a Motion for Discovery, he must file it at the same time that he files his Statement of Objections or at the same time he files his Response to a Statement of Objections, whichever is earlier. All Motions for Discovery and related filings must be served upon the person to whom the discovery is directed. If the person to whom the discovery is directed is not on the official service list, the documents served upon him shall include a copy of this section, the address of the Office of Hearings and Appeals and a statement that objections to the Motion may be filed with the Office of Hearings and Appeals.

(b) A Motion for Discovery may request that:

(1) A person produce for inspection and photocopying non-privileged written material in his possession;

(2) A person respond to written interrogatories;

(3) A person admit to the genuineness of any relevant document or the truth of any relevant fact; or

(4) The deposition of a material witness be taken.

(c) A Motion for Discovery shall set forth the reasons why the particular discovery is necessary in order to obtain relevant and material evidence and shall explain why such discovery would not unduly delay the proceeding.

(d) Within 20 days after a Motion for Discovery is served, a participant or a person to whom the discovery is directed may file a request that the Motion be denied in whole or in part, stating the reasons which support the request.

(e) Discovery may be conducted only pursuant to an Order issued by the Office of Hearings and Appeals. A Motion for Discovery will be granted if it is concluded that discovery is necessary for the party to obtain relevant and material evidence and that discovery will not unduly delay the proceeding. Depositions will be permitted if a convincing showing is made that the participant cannot obtain the material sought through one of the other discovery means specified in paragraph (b) of this section.

(f) The Director of the Office of Hearings and Appeals or his designee may issue subpoenas in accordance with § 205.8 in support of Discovery Orders, except that § 205.8 (h)(2), (3), and (4) shall not apply to such subpoenas.

(g) The Office of Hearings and Appeals may order that any direct expenses incurred by a person to produce evidence pursuant to a Motion for Discovery be charged to the person who filed the Motion.

(h)(1) If a person fails to comply with an order relating to discovery, the Office of Hearings and Appeals may order appropriate sanctions.

(2) It shall be the duty of aggrieved participants to request that appropriate relief be fashioned in such situations.

(i) Any order issued by the Office of Hearings and Appeals with respect to discovery shall be subject to further administrative review or appeal only upon issuance of the determination referred to in § 205.199B.

§ 205.198AProtective order.

A participant who has unsuccessfully attempted in writing to obtain information that another participant claims is confidential may file a Motion for Discovery and Protective Order. This motion shall meet the requirements of § 205.198 and shall specify the particular confidential information that the movant seeks and the reasons why the information is necessary to adequately present the movant's position in the proceeding. A copy of the written request for information, a certification concerning when and to whom it was served and a copy of the response, if any, shall be appended to the motion. The motion must give the possessor of the information notice that a Response to the Motion must be filed within ten days. The Response shall specify the safeguards, if any, that should be imposed if the information is ordered to be released. The Office of Hearings and Appeals may issue a Protective Order upon consideration of the Motion and the Response.

§ 205.199Evidentiary hearing.

(a) Filing Requirements. At the time a person files a Statement of Objections he may also file a motion requesting an evidentiary hearing be convened. A motion requesting an evidentiary hearing may be filed by any other participant within 30 days after that participant is served with a Statement of Objections.

(b) Contents of Motion for Evidentiary Hearing. A Motion for Evidentiary Hearing shall specify each disputed issue of fact and the bases for the alternative findings the movant asserts. The movant shall also describe the manner in which each disputed issue of fact was raised in any prior administrative proceeding which led to issuance of the Proposed Remedial Order, or why it was not raised. The movant shall with respect to each disputed or alternative finding of fact:

(1) As specifically as possible, identify the witnesses whose testimony is required;

(2) State the reasons why the testimony of the witnesses is necessary; and

(3) State the reasons why the asserted position can be effectively established only through the direct questioning of witnesses at an evidentiary hearing.

(c) Response to Motion for Evidentiary Hearing. Within 20 days after service of any Motion for Evidentiary Hearing, the Office that issued the Proposed Remedial Order shall, and any other participant may file a Response with the Office of Hearings and Appeals. The Response shall specify:

(1) Each particular factual representation which is accepted as correct for purposes of the proceeding;

(2) Each particular factual representation which is denied;

(3) Each particular factual representation which the participant is not in a position to accept or deny;

(4) Each particular factual representation which is not accepted and the participant wishes proven by the submission of evidence;

(5) Each particular factual representation which the participant is prepared to dispute through the testimony of witnesses or the submission of verified documents; and

(6) Each particular factual representation which the participant asserts should be dismissed as immaterial or irrelevant.

(d) Prehearing Conferences. After all submissions with respect to a Motion for Evidentiary Hearing are filed, the Office of Hearings and Appeals may conduct conferences or hearings to resolve differences of view among the participants.

(e) Decision on Motion for Evidentiary Hearing. After considering all relevant information received in connection with the Motion, the Office of Hearings and Appeals shall enter an Order. In the Order the Office of Hearings and Appeals shall direct that an evidentiary hearing be convened if it concludes that a genuine dispute exists as to relevant and material issues of fact and an evidentiary hearing would substantially assist it in making findings of fact in an effective manner. If the Motion for Evidentiary Hearing is granted in whole or in part, the Order shall specify the parties to the hearing, any limitations on the participation of a party, and the issues of fact set forth for the evidentiary hearing. The Order may also require parties that have adopted similar positions to consolidate their presentations and to appear at the evidentiary hearing through a common representative. If the Motion is denied, the Order may allow the movant to file affidavits and other documents in support of his asserted findings of fact.

(f) Review of Decision. The Order of the Office of Hearings and Appeals with respect to a Motion for Evidentiary Hearing shall be subject to further administrative review or appeal only upon issuance of the determination referred to in § 205.199B.

(g) Conduct of Evidentiary Hearing. All evidentiary hearings convened pursuant to this section shall be conducted by the Director of the Office of Hearings and Appeals or his designee. At any evidentiary hearing the parties shall have the opportunity to present material evidence which directly relates to a particular issue of fact set forth for hearing. The presiding officer shall afford the parties an opportunity to cross examine all witnesses. The presiding officer may administer oaths and affirmations, rule on objections to the presentation of evidence, receive relevant material, rule on any motion to conform the Proposed Remedial Order to the evidence presented, rule on motions for continuance, dispose of procedural requests, determine the format of the hearing, modify any order granting a Motion for Evidentiary Hearing, direct that written motions or briefs be provided with respect to issues raised during the course of the hearing, issue subpoenas, and otherwise regulate the conduct of the hearing. The presiding officer may take reasonable measures to exclude duplicative material from the hearing, and may place appropriate limitations on the number of witnesses that may be called by a party. The presiding officer may also require that evidence be submitted through affidavits or other documents if the direct testimony of witnesses will unduly delay the orderly progress of the hearing and would not contribute to resolving the issues involved in the hearing. The provisions of § 205.8 which relate to subpoenas and witness fees shall apply to any evidentiary hearing, except that subsection § 205.8(h) (2), (3), and (4) shall not apply.

§ 205.199AHearing for the purpose of oral argument only.

(a) A participant is entitled upon timely request to a hearing to present oral argument with respect to the Proposed Remedial Order, whether or not an evidentiary hearing is requested or convened. A participant's request shall normally be considered untimely, if made more than 10 days after service of a determination regarding any motion filed by the requestor or, if no motions were filed by him, if made after the date for filing his Reply or his Response to a Statement of Objections.

(b) If an evidentiary hearing is convened, and a hearing for oral argument is requested, the Office of Hearings and Appeals shall determine whether the hearing for oral argument shall be held in conjunction with the evidentiary hearing or at a separate time.

(c) A hearing for the purpose of receiving oral argument will generally be conducted only after the issues involved in the proceeding have been delineated, and any written material which the Office of Hearings and Appeals has requested to supplement a Statement of Objections or Responses has been submitted. The presiding officer may require further written submissions in support of any position advanced or issued at the hearing, and shall allow responses any such submissions.

§ 205.199BRemedial order.

(a) After considering all information received during the proceeding, the Director of the Office of Hearings and Appeals or his designee may issue a final Remedial Order. The Remedial Order may adopt the findings and conclusions contained in the Proposed Remedial Order or may modify or rescind any such finding or conclusion to conform the Order to the evidence or on the basis of a determination that the finding or conclusion is erroneous in fact or law or is arbitrary or capricious. In the alternative, the Office of Hearings and Appeals may determine that no Remedial Order should be issued or may remand all or a portion of the Proposed Remedial Order to the issuing DOE office for further consideration or modification. Every determination made pursuant to this section shall state the relevant facts and legal bases supporting the determination.

(b) The DOE shall serve a copy of any determination issued pursuant to paragraph (a) of this section upon the person to whom it is directed, any person who was served with a copy of the Proposed Remedial Order, the DOE office that issued the Proposed Remedial Order, the DOE Assistant General Counsel for Administrative Litigation and any other person on the official service list. Appropriate deletions may be made in the determinations to ensure that confidentiality of information protected from disclosure under 18 U.S.C. 1905 and 5 U.S.C. 552. A copy of the determination with appropriate deletions to protect confidential and proprietary data shall be placed in the Office of Hearings and Appeals Public Docket Room.

§ 205.199CAppeals of remedial order to FERC.

(a) The person to whom a Remedial Order is issued by the Office of Hearings and Appeals may file an administrative appeal if the Remedial Order proceeding was initiated by a Notice of Probable Violation issued after October 1, 1977, or, in those situations in which no Notice of Probable Violation was issued, if the proceeding was initiated by a Proposed Remedial Order issued after October 1, 1977.

(b) Any such appeal must be initiated within 30 days after service of the Order by giving written notice to the Office of Hearings and Appeals that the person to whom a Remedial Order is issued wishes to contest the Order.

(c) The Office of Hearings and Appeals shall promptly advise the Federal Energy Regulatory Commission of its receipt of a notice described in paragraph (b) of this section.

(d) The Office of Hearings and Appeals may, on a case by case basis, set reasonable time limits for the Federal Energy Regulatory Commission to complete its action on such an appeal proceeding.

(e) In order to exhaust administrative remedies, a person who is entitled to appeal a Remedial Order issued by the Office of Hearings and Appeals must file a timely appeal and await a decision on the merits. Any Remedial Order that is not appealed within the 30-day period shall become effective as a final Order of the DOE and is not subject to review by any court.

§§ 205.199D—205.199E[Reserved]§ 205.199FEx parte communications.

(a) No person who is not employed or otherwise supervised by the Office of Hearings and Appeals shall submit ex parte communications to the Director or any person employed or otherwise supervised by the Office with respect to any matter involved in Remedial Order or Order of Disallowance proceedings.

(1) Ex parte communications include any ex parte oral or written communications relative to the merits of a Proposed Remedial Order, Interim Remedial Order for Immediate Compliance, or Proposed Order of Disallowance proceeding pending before the Office of Hearings and Appeals. The term shall not, however, include requests for status reports, inquiries as to procedures, or the submission of proprietary or confidential information. Notice that proprietary or confidential submissions have been made shall be given to all persons on the official service list.

(b) If any communication occurs that violates the provisions of this section, the Office of Hearings and Appeals shall promptly make the substance of the communication available to the public and serve a copy of a written communication or a memorandum summarizing an oral communication to all participants in the affected proceeding. The Office of Hearings and Appeals may also take any other appropriate action to mitigate the adverse impact to any person whose interest may be affected by the ex parte contact.

§ 205.199GExtension of time; Interim and Ancillary Orders.

The Director of the Office of Hearings and Appeals or his designee may permit upon motion any document or submission referred to in this subpart other than appeals to FERC to be amended or withdrawn after it has been filed or to be filed within a time period different from that specified in this subpart. The Director or his designee may upon motion or on his own initiative issue any interim or ancillary Orders, reconsider any determinations, or make any rulings or determinations that are deemed necessary to ensure that the proceedings specified in this subpart are conducted in an appropriate manner and are not unduly delayed.

§ 205.199HActions not subject to administrative appeal.

A Notice of Probable Violation, Notice of Proposed Disallowance, Proposed Remedial Order or Interim Remedial Order for Immediate Compliance issued pursuant to this subpart shall not be an action from which there may be an administrative appeal pursuant to subpart H. In addition, a determination by the Office of Hearings and Appeals that a Remedial Order, an Order of Disallowance, or a Remedial Order for Immediate Compliance should not be issued shall not be appealable pursuant to subpart H.

§ 205.199IRemedies.

(a) A Remedial Order, a Remedial Order for Immediate Compliance, an Order of Disallowance, or a Consent Order may require the person to whom it is directed to roll back prices, to make refunds equal to the amount (plus interest) charged in excess of those amounts permitted under DOE Regulations, to make appropriate compensation to third persons for administrative expenses of effectuating appropriate remedies, and to take such other action as the DOE determines is necessary to eliminate or to compensate for the effects of a violation or any cost disallowance pursuant to § 212.83 or § 212.84. Such action may include a direction to the person to whom the Order is issued to establish an escrow account or take other measures to make refunds directly to purchasers of the products involved, notwithstanding the fact that those purchasers obtained such products from an intermediate distributor of such person's products, and may require as part of the remedy that the person to whom the Order is issued maintain his prices at certain designated levels, notwithstanding the presence or absence of other regulatory controls on such person's prices. In cases where purchasers cannot be reasonably identified or paid or where the amount of each purchaser's overcharge is incapable of reasonable determination, the DOE may refund the amounts received in such cases directly to the Treasury of the United States on behalf of such purchasers.

(b) The DOE may, when appropriate, issue final Orders ancillary to a Remedial Order, Remedial Order for Immediate Compliance, Order of Disallowance, or Consent Order requiring that a direct or indirect recipient of a refund pass through, by such means as the DOE deems appropriate, including those described in paragraph (a) of this section, all or a portion of the refund, on a pro rata basis, to those customers of the recipient who were adversely affected by the initial overcharge. Ancillary Orders may be appealed to the Office of Hearings and Appeals only pursuant to subpart H.

§ 205.199JConsent order.

(a) Notwithstanding any other provision of this subpart, the DOE may at any time resolve an outstanding compliance investigation or proceeding, or a proceeding involving the disallowance of costs pursuant to § 205.199E with a Consent Order. A Consent Order must be signed by the person to whom it is issued, or a duly authorized representative, and must indicate agreement to the terms contained therein. A Consent Order need not constitute an admission by any person that DOE regulations have been violated, nor need it constitute a finding by the DOE that such person has violated DOE regulations. A Consent Order shall, however, set forth the relevant facts which form the basis for the Order.

(b) A Consent Order is a final Order of the DOE having the same force and effect as a Remedial Order issued pursuant to § 205.199B or an Order of Disallowance issued pursuant to § 205.199E, and may require one or more of the remedies authorized by § 205.199I and § 212.84(d)(3). A Consent Order becomes effective no sooner than 30 days after publication under paragraph (c) of this section, unless (1) the DOE makes a Consent Order effective immediately, because it expressly deems it necessary in the public interest, or (2) the Consent Order involves a sum of less than $500,000 in the aggregate, excluding penalties and interest, in which case it will be effective when signed both by the person to whom it is issued and the DOE, and will not be subject to the provisions of paragraph (c) of this section unless the DOE determines otherwise. A Consent Order shall not be appealable pursuant to the provisions of § 205.199C or § 205.199D and subpart H, and shall contain an express waiver of such appeal or judicial review rights as might otherwise attach to a final Order of the DOE.

(c) When a Consent Order has been signed, both by the person to whom it is issued and the DOE, the DOE will publish notice of such Consent Order in the Federal Register and in a press release to be issued simultaneously therewith. The Federal Register notice and the press release will state at a minimum the name of the company concerned, a brief summary of the Consent Order and other facts or allegations relevant thereto, the address and telephone number of the DOE office at which copies of the Consent Order will be available free of charge, the address to which comments on the Consent Order will be received by the DOE, and the date by which such comments should be submitted, which date will not be less than 30 days after publication of the Federal Register notice. After the expiration of the comment period the DOE may withdraw its agreement to the Consent Order, attempt to negotiate a modification of the Consent Order, or issue the Consent Order as signed. The DOE will publish in the Federal Register, and by press release, notice of any action taken on a Consent Order and such explanation of the action taken as deemed appropriate. The provisions of this paragraph shall be applicable notwithstanding the fact that a Consent Order may have been made immediately effective pursuant to paragraph (b) of this section (except in cases where the Consent Order involves sums of less than $500,000 in the aggregate, excluding penalties and interest).

(d) At any time and in accordance with the procedures of subpart J, a Consent Order may be modified or rescinded, upon petition by the person to whom the Consent Order was issued, and may be rescinded by the DOE upon discovery of new evidence which is materially inconsistent with evidence upon which the DOE's acceptance of the Consent Order was based. Modifications of a Consent Order which is subject to public comment under the provisions of paragraph (c) of this section, which in the opinion of the DOE significantly change the terms or the impact of the original Order, shall be republished under the provisions of that paragraph.

(e) Notwithstanding the issuance of a Consent Order, the DOE may seek civil or criminal penalties or compromise civil penalties pursuant to subpart P concerning matters encompassed by the Consent Order, unless the Consent Order by its terms expressly precludes the DOE from so doing.

(f) If at any time after a Consent Order becomes effective it appears to the DOE that the terms of the Consent Order have been violated, the DOE may refer such violations to the Department of Justice for appropriate action in accordance with subpart P.

(a) The purpose of this section is to state the procedures that will be followed by the Economic Regulatory Administration of the Department of Energy in electricity export adjudications.

(b) Definitions.

As used in this subpart—

Administrator means the Administrator of the Economic Regulatory Administration.

Decisional employees means the Administrator, presiding officers at adjudicatory hearings, and other employees of the Department, including consultants and contractors, who are, or may reasonably be expected to be, involved in the decision-making process, which includes advising the Administrator in resolving the issues in an adjudication. The term does not include those employees of the Department performing investigative or trial functions in an adjudication, unless they are specifically requested by the Administrator or his delegate to participate in the decision-making process.

Department means the Department of Energy.

Off-the-record communication means an ex parte communication, which is an oral or written communication relevant to the merits of an adjudication and not on the record and with respect to which reasonable prior notice to all participants and opportunity to be present at, or respond to, the communication is not given, but does not include a communication relating solely to procedures which are not relevant to the merits of the adjudication.

Interested person means a person outside the Department whose interest in the adjudication goes beyond the general interest of the public as a whole and includes applicants, intervenors, competitors of applicants, non-profit and public interest organizations, and other individuals and organizations, including state, local and other public officials, with a proprietary, financial or other special interest in the outcome of the adjudication. The term does not include other federal agencies, unless an agency is a participant in the adjudication.

Participant means any applicant or intervenor participating in the adjudication.

Adjudication means a formal proceeding employing procedures identical or similar to those required by the Administrative Procedure Act, as codified in 5 U.S.C. 551, 556, and 557, to consider an application to export electricity.

Reasonable prior notice means 7 days’ written notice stating the nature and purpose of the communication.

Relevant to the merits means a communication directly related to the merits of a specific adjudication but does not include general background discussions about an entire industry or communications of a general nature made in the course of developing agency policy for future general application.

(1) No interested person shall make an off-the-record communication or knowingly cause an off-the-record communication to be made to any decisional employee.

(2) No decisional employee shall make an off-the-record communication or knowingly cause an off-the-record communication to be made to any interested person.

(3) A decisional employee who receives, makes, or knowingly causes to be made an oral communication prohibited by this section shall prepare a memorandum stating the substance of the communication and any responses made to it.

(4) With 48 hours of receiving, making or knowingly causing to be made a communication prohibited by this section, a decisional employee shall deliver all written off-the-record communications and all memoranda prepared in compliance with paragraph (a)(3) of this section to the Director of the Coal and Electricity Division, ERA, who will immediately place the materials described above in the public record associated with the adjudication, available for public inspection.

(5) Upon receipt of a communication knowingly made or knowingly caused to be made by a participant in violation of this section, the Administrator or presiding officer may, to the extent consistent with the interests of justice and the applicable statutory policy, require the participant to show cause why his or her claim or interest in the adjudication should not be dismissed, denied, disregarded, or otherwise adversely affected on account of the violation.

(6) The prohibitions of this section shall apply beginning at the time an adjudication is noticed for hearing (or the person responsible for the communication acquires knowledge that it will be noticed), a protest is filed, or a petition or notice to intervene in opposition to the requested Department action is filed, whichever occurs first.

(b) The prohibition, cited at 18 CFR 1.30(f), against participation in the decision-making process by Department employees who perform investigative or trial functions in an adjudication, shall no longer be applicable to ERA.

This subpart establishes special procedures pursuant to which refunds may be made to injured persons in order to remedy the effects of a violation of the regulations of the Department of Energy. This subpart shall be applicable to those situations in which the Department of Energy is unable to readily identify persons who are entitled to refunds specified in a Remedial Order, a Remedial Order for Immediate Compliance, an Order of Disallowance or a Consent Order, or to readily ascertain the amounts that such persons are entitled to receive.

§ 205.281Petition for implementation of special refund procedures.

(a) At any time after the issuance of a Remedial Order (including for purposes of this subpart a Remedial Order for Immediate Compliance and an Order of Disallowance), or a Consent Order, the Special Counsel of the Department of Energy, the ERA Office of Enforcement, or any other enforcement official of the Department of Energy may file with the Office of Hearings and Appeals a Petition for the Implementation of Special Refund Procedures.

(b) The Petition shall state that the person filing it has been unable readily either to identify the persons who are entitled to refunds to be remitted pursuant to a Remedial Order or a Consent Order or to ascertain the amounts of refunds that such persons are entitled to receive. The Petition shall request that the Office of Hearings and Appeals institute appropriate proceedings under this Subpart to distribute the funds referred to in the enforcement documents.

(c) The Petition shall contain a copy of each relevant enforcement document, shall be filed in duplicate, and shall meet the requirements of § 205.9 of this part.

§ 205.282Evaluation of petition by the Office of Hearings and Appeals.

(a) After considering the Petition, the Director of the Office of Hearings and Appeals or his designee shall issue a Proposed Decision and Order. The Proposed Decision and Order shall generally describe the nature of the particular refund proceeding and shall set forth the standards and procedures that the Office of Hearings and Appeals intends to apply in evaluating refund claims.

(b) The Proposed Decision and Order shall be published in the Federal Register together with a statement that any member of the public may submit written comments to the Office of Hearings and Appeals with respect to the matter. At least 30 days following publication in the Federal Register shall be provided for the submission of comments.

(c) After considering the comments submitted, the Director of the Office of Hearings and Appeals or his designee shall issue a final Decision and Order which shall govern the disposition of the refunds. The final Decision and Order shall also be published in the Federal Register.

(d) The final Decision and Order shall set forth the standards and procedures that will be used in evaluating individual Applications for Refunds and distributing the refund amount. Those standards and procedures shall be consistent with the provisions of this subpart.

(e) In establishing standards and procedures for implementing refund distributions, the Office of Hearings and Appeals shall take into account the desirability of distributing the refunds in an efficient, effective and equitable manner and resolving to the maximum extent practicable all outstanding claims. In order to do so, the standards for evaluation of individual claims may be based upon appropriate presumptions.

§ 205.283Applications for refund.

(a) Any person entitled to a refund pursuant to a final Decision and Order issued pursuant to § 205.282 may file an Application for Refund. All Applications must be signed by the applicant and specify the DOE order to which they pertain. Any Application for a refund in excess of $100 must be file in duplicate, and a copy of that Application will be available for public inspection in the DOE Public Docket Room at 2000 M Street, NW., Washington, DC. Any applicant who believes that his Application contains confidential information must so indicate on the first page of his Application and submit two additional copies of his Application from which the information that the applicant claims is confidential has been deleted, together with a statement specifying why any such information is privileged or confidential.

(b) The contents of an Application for Refund shall be specified in the final Decision and Order referred to in § 205.282(c). A filing deadline for Applications shall also be specified in the final Decision and Order, and shall be no less than 90 days after the publication of the Order in the Federal Register.

(c) Each Application shall be in writing and signed by the applicant, and shall indicate whether the applicant or any person acting on his instructions has filed or intends to file any other Application or claim of whatever nature regarding the matters at issue in the underlying enforcement proceeding. Each Application shall also include a sworn statement by the applicant that all information in his Application is true and correct to the best of his knowledge and belief.

§ 205.284Processing of applications.

(a) The Director of the Office of Hearings and Appeals may appoint an administrator to evaluate Applications under guidelines established by the Office of Hearings and Appeals. The administrator, if he is not a Federal Government employee, may be compensated from the funds referred to in the Remedial Order or Consent Order. The administrator may design and distribute an optional application form for the convenience of the applicants.

(b) The Office of Hearings and Appeals or its designee may initiate an investigation of any statement made in an Application and may require verification of any document submitted in support of a claim. In evaluating an Application, the Office of Hearings and Appeals or its designee may solicit and consider information obtained from any source and may on its own initiative convene a hearing or conference, if it determines that a hearing or conference will advance its evaluation of an Application.

(c) The Director of the Office of Hearings and Appeals or his designee shall conduct any hearing or conference convened with respect to an Application for Refund and shall specify the time and place for the hearing or conference and notify the applicant. The official conducting the hearing may administer oaths and affirmations, rule on the presentation of information, receive relevant information, dispose of procedural requests, determine the format of the hearing and otherwise regulate the course of the hearing. The provisions of § 205.8 of this part which relate to subpoenas and witness fees shall apply to any hearing convened with respect to an application for refund, except that § 205.8(h) (2), (3) and (4) shall not apply.

(d) Upon consideration of an Application and other relevant information received during the course of a refund proceeding, the Director of the Office of Hearings and Appeals or his designee shall issue an order granting or denying the Application. The order shall contain a concise statement of the relevant facts and the legal basis for the order. A copy of the order, with such modification as is necessary to ensure the confidentiality of information protected from public disclosure by 18 U.S.C. 1905, may be obtained upon request by an applicant or any other person who participated in the proceeding.

§ 205.285Effect of failure to file a timely application.

An Application for Refund must be filed no later than the date that the Office of Hearings and Appeals establishes pursuant to § 205.283(b). Any Application that is not filed on a timely basis may be summarily dismissed. The Office of Hearings and Appeals or its designee may, however, grant extensions of time for good cause shown. Any request for an extension of time must generally be submitted in writing prior to the deadline.

§ 205.286Limitations on amount of refunds.

(a) The aggregate amount of all refunds approved by the Office of Hearings and Appeals or its designee in a given case shall not exceed the amount to be remitted pursuant to the relevant DOE enforcement order, plus any accumulated interest, reduced by the amount of any administrative costs approved by the Office of Hearings and Appeals. In the event that the aggregate amount of approved claims exceeds the aggregate amount of funds specified above, the Office of Hearings and Appeals may make refunds on a pro rata basis. The Office of Hearings and Appeals may delay payment of any refunds until all Applications have been processed.

(b) The Office of Hearings and Appeals may decline to consider Applications for refund amounts that, in view of the direct administrative costs involved, are too small to warrant individual consideration.

§ 205.287Escrow accounts, segregated funds and other guarantees.

(a) In implementing the refund procedures specified in this subpart, the Director of the Office of Hearings and Appeals or his designee shall issue an order providing for the custody of the funds to be tendered pursuant to the Remedial Order or Consent Order. This Order may require placement of the funds in an appropriate interest-bearing escrow account, retention of the funds by the firm in a segregated account under such terms and conditions as are specified by the DOE, or the posting of a sufficient bond or other guarantee to ensure payment.

(b) All costs and charges approved by the Office of Hearings and Appeals and incurred in connection with the processing of Applications for Refund or incurred by an escrow agent shall be paid from the amount of funds, including any accumulated interest, to be remitted pursuant to the Remedial Order or Consent Order.

(c) After the expenses referred to in paragraph (b) of this section have been satisfied and refunds distributed to successful applicants, any remaining funds remitted pursuant to the Remedial Order or Consent Order shall be deposited in the United States Treasury or distributed in any other manner specified in the Decision and Order referred to in § 205.282(c).

(d) Funds contained in an escrow account, segregated fund, or guaranteed by other approved means shall be disbursed only upon written order of the Office of Hearings and Appeals.

§ 205.288Interim and ancillary orders.

The Director of the Office of Hearings and Appeals or his designee may issue any interim or ancillary orders, or make any rulings or determinations to ensure that refund proceedings, including the actions of the administrator and the custodian of the funds involved in a refund proceeding, are conducted in an appropriate manner and are not unduly delayed.

Subpart W—Electric Power System Permits and Reports; Applications; Administrative Procedures and SanctionsAuthority:

(Approved by the Office of Management and Budget under Control No. 1901-0245)Application for Authorization to Transmit Electric Energy to a Foreign Country§ 205.300Who shall apply.

(a) An electric utility or other entity subject to DOE jurisdiction under part II of the Federal Power Act who proposes to transmit any electricity from the United States to a foreign country must submit an application or be a party to an application submitted by another entity. The application shall be submitted to the Office of Utility Systems of the Economic Regulatory Administration (EPA).

(b) In connection with an application under §§ 205.300 through 205.309, attention is directed to the provisions of §§ 205.320 through 205.327, below, concerning applications for Presidential Permits for the construction, connection, operation, or maintenance, at the borders of the United States, of facilities for the transmission of electric energy between the United States and a foreign country in compliance with Executive Order 10485, as amended by Executive Order 12038.

§ 205.301Time of filing.

Each application should be made at least six months in advance of the initiation of the proposed electricity export, except when otherwise permitted by the ERA to resolve an emergency situation.

§ 205.302Contents of application.

Every application shall contain the following information set forth in the order indicated below:

(a) The exact legal name of the applicant.

(b) The exact legal name of all partners.

(c) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed.

(d) The state or territory under the laws of which the applicant is organized or incorporated, or authorized to operate. If the applicant is authorized to operate in more than one state, all pertinent facts shall be included.

(e) The name and address of any known Federal, State or local government agency which may have any jurisdiction over the action to be taken in this application and a brief description of that authority.

(f) A description of the transmission facilities through which the electric energy will be delivered to the foreign country, including the name of the owners and the location of any remote facilities.

(g) A technical discussion of the proposed electricity export's reliability, fuel use and system stability impact on the applicant's present and prospective electric power supply system. Applicant must explain why the proposed electricity export will not impair the sufficiency of electric supply on its system and why the export will not impede or tend to impede the regional coordination of electric utility planning or operation.

(h) The original application shall be signed and verified under oath by an officer of the applicant having knowledge of the matters set forth therein.

§ 205.303Required exhibits.

There shall be filed with the application and as a part thereof the following exhibits:

(a) Exhibit A. A copy of the agreement or proposed agreement under which the electricity is to be transmitted including a listing of the terms and conditions. If this agreement contains proprietary information that should not be released to the general public, the applicant must identify such data and include a statement explaining why proprietary treatment is appropriate.

(b) Exhibit B. A showing, including a signed opinion of counsel, that the proposed export of electricity is within the corporate power of the applicant, and that the applicant has complied or will comply with all pertinent Federal and State laws.

(c) Exhibit C. A general map showing the applicant's overall electric system and a detailed map highlighting the location of the facilities or the proposed facilities to be used for the generation and transmission of the electric energy to be exported. The detailed map shall identify the location of the proposed border crossing point(s) or power transfer point(s) by Presidential Permit number whenever possible.

(d) Exhibit D. If an applicant resides or has its principal office outside the United States, such applicant shall designate, by irrevocable power of attorney, an agent residing within the United States. A verified copy of such power of attorney shall be furnished with the application.

(e) Exhibit E. A statement of any corporate relationship or existing contract between the applicant and any other person, corporation, or foreign government, which in any way relates to the control or fixing of rates for the purchase, sale or transmission of electric energy.

(f) Exhibit F. An explanation of the methodology (Operating Procedures) to inform neighboring electric utilities in the United States of the available capacity and energy which may be in excess of the applicant's requirements before delivery of such capacity to the foreign purchaser. Approved firm export, diversity exchange and emergency exports are exempted from this requirement. Those materials required by this section which have been filed previously with the ERA may be incorporated by reference.

§ 205.304Other information.

Where the application is for authority to export less than 1,000,000 kilowatt hours annually, applicants need not furnish the information called for in §§205.302(g) and 205.303 (Exhibit C). Applicants, regardless of the amount of electric energy to be exported, may be required to furnish such supplemental information as the ERA may deem pertinent.

§ 205.305Transferability.

(a) An authorization to transmit electric energy from the United States to a foreign country granted by order of the ERA under section 202(e) of the Federal Power Act shall not be transferable or assignable. Provided written notice is given to the ERA within 30 days, the authorization may continue in effect temporarily in the event of the involuntary transfer of this authority by operation of law (including transfers to receivers, trustees, or purchasers under foreclosure or judicial sale). This continuance is contingent on the filing of an application for permanent authorization and may be effective until a decision is made thereon.

(b) In the event of a proposed voluntary transfer of this authority to export electricity, the transferee and the transferor shall file jointly an application pursuant to this subsection, setting forth such information as required by §§ 205.300 through 205.304, together with a statement of reasons for the transfer.

(c) The ERA may at any time subsequent to the original order of authorization, after opportunity for hearing, issue such supplemental orders as it may find necessary or appropriate.

§ 205.306Authorization not exclusive.

No authorization granted pursuant to section 202(e) of the Act shall be deemed to prevent an authorization from being granted to any other person or entity to export electric energy or to prevent any other person or entity from making application for an export authorization.

§ 205.307Form and style; number of copies

An original and two conformed copies of an application containing the information required under §§ 205.300 through 205.309 must be filed.

§ 205.308Filing schedule and annual reports.

(a) Persons authorized to transmit electric energy from the United States shall promptly file all supplements, notices of succession in ownership or operation, notices of cancellation, and certificates of concurrence. In general, these documents should be filed at least 30 days prior to the effective date of any change.

(b) A change in the tariff arrangement does not require an amendment to the authorization. However, any entity with an authorization to export electric energy shall file with the ERA, and the appropriate state regulatory agency, a certified copy of any changed rate schedule and terms. Such changes may take effect upon the date of filing of informational data with the ERA.

(c) Persons receiving authorization to transmit electric energy from the United States shall submit to the ERA, by February 15 each year, a report covering each month of the preceding calendar year detailing the gross amount of kilowatt-hours of energy, by authorized category, received or delivered, and the cost and revenue associated with each category.

(Approved by the Office of Management and Budget under Control No. 1901-0245)[45 FR 71560, Oct. 28, 1980, as amended at 46 FR 63209, Dec. 31, 1981]§ 205.309Filing procedures and fees.

Applications shall be addressed to the Office of Utility Systems of the Economic Regulatory Administration. Every application shall be accompanied by a fee of $500.00. Fee payment shall be by check, draft, or money order payable to the Treasurer of the United States. Copies of applications and notifications of rate changes shall be furnished to the Federal Energy Regulatory Commission and all affected State public utility regulatory agencies.

Application for Presidential Permit Authorizing the Construction, Connection, Operation, and Maintenance of Facilities for Transmission of Electric Energy at International Boundaries§ 205.320Who shall apply.

(a) Any person, firm, co-operative, corporation or other entity who operates an electric power transmission or distribution facility crossing the border of the United States, for the transmission of electric energy between the United States and a foreign country, shall have a Presidential Permit, in compliance with Executive Order 10485, as amended by Executive Order 12038. Such applications should be filed with the Office of Utility Systems of the Economic Regulatory Administration.

Note:

E.O. 12038, dated February 3, 1978, amended E.O. 10485, dated September 3, 1953, to delete the words “Federal Power Commission” and “Commission” and substitute for each “Secretary of Energy.” E.O. 10485 revoked and superseded E.O. 8202, dated July 13, 1939.

(b) In connection with applications hereunder, attention is directed to the provisions of §§ 205.300 to 205.309, above, concerning applications for authorization to transmit electric energy from the United States to a foreign country pursuant to section 202(e) of the Federal Power Act.

§ 205.321Time of filing.

Pursuant to the DOE's responsibility under the National Environmental Policy Act, the DOE must make an environmental determination of the proposed action. If, as a result of this determination, an environmental impact statement (EIS) must be prepared, the permit processing time normally will be 18-24 months. If no environmental impact statement is required, then a six-month processing time normally would be sufficient.

§ 205.322Contents of application.

Every application shall be accompanied by a fee prescribed in § 205.326 of this subpart and shall provide, in the order indicated, the following:

(a) Information regarding the applicant.

(1) The legal name of the applicant;

(2) The legal name of all partners;

(3) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed;

(4) Whether the applicant or its transmission lines are owned wholly or in part by a foreign government or directly or indirectly assisted by a foreign government or instrumentality thereof; or whether the applicant has any agreement pertaining to such ownership by or assistance from any foreign government or instrumentality thereof.

(5) List all existing contracts that the applicant has with any foreign government, or any foreign private concerns, relating to any purchase, sale or delivery of electric energy.

(6) A showing, including a signed opinion of counsel, that the construction, connection, operation, or maintenance of the proposed facility is within the corporate power of the applicant, and that the applicant has complied with or will comply with all pertinent Federal and State laws;

(b) Information regarding the transmission lines to be covered by the Presidential Permit. (1)(i) A technical description providing the following information: (A) Number of circuits, with identification as to whether the circuit is overhead or underground; (B) the operating voltage and frequency; and (C) conductor size, type and number of conductors per phase.

(ii) If the proposed interconnection is an overhead line the following additional information must also be provided: (A) The wind and ice loading design parameters; (B) a full description and drawing of a typical supporting structure including strength specifications; (C) structure spacing with typical ruling and maximum spans; (D) conductor (phase) spacing; and (E) the designed line to ground and conductor side clearances.

(iii) If an underground or underwater interconnection is proposed, the following additional information must also be provided: (A) Burial depth; (B) type of cable and a description of any required supporting equipment, such as insulation medium pressurizing or forced cooling; and (C) cathodic protection scheme. Technical diagrams which provide clarification of any of the above items should be included.

(2) A general area map with a scale not greater than 1 inch=40 kilometers (1 inch=25 miles) showing the overall system, and a detailed map at a scale of 1 inch=8 kilometers (1 inch=5 miles) showing the physical location, longitude and latitude of the facility on the international border. The map shall indicate ownership of the facilities at or on each side of the border between the United States and the foreign country. The maps, plans, and description of the facilities shall distinguish the facilities or parts thereof already constructed from those to be constructed.

(3) Applications for the bulk power supply facility which is proposed to be operated at 138 kilovolts or higher shall contain the following bulk power system information:

(i) Data regarding the expected power transfer capability, using normal and short time emergency conductor ratings;

(ii) System power flow plots for the applicant's service area for heavy summer and light spring load periods, with and without the proposed international interconnection, for the year the line is scheduled to be placed in service and for the fifth year thereafter. The power flow plots submitted can be in the format customarily used by the utility, but the ERA requires a detailed legend to be included with the power flow plots;

(iii) Data on the line design features for minimizing television and/or radio interference caused by operation of the subject transmission facilities;

(iv) A description of the relay protection scheme, including equipment and proposed functional devices;

(v) After receipt of the system power flow plots, the ERA may require the applicant to furnish system stability analysis for the applicant's system.

(c) Information regarding the environmental impacts shall be provided as follows for each routing alternative:

(1) Statement of the environmental impacts of the proposed facilities including a list of each flood plain, wetland, critical wildlife habitat, navigable waterway crossing, Indian land, or historic site which may be impacted by the proposed facility with a description of proposed activities therein.

(2) A list of any known Historic Places, as specified in 36 CFR part 800, which may be eligible for the National Register of Historic Places.

(3) Details regarding the minimum right-of-way width for construction, operation and maintenance of the transmission lines and the rationale for selecting that right-of-way width.

(4) A list of threatened or endangered wildlife or plant life which may be located in the proposed alternative.

(d) A brief description of all practical alternatives to the proposed facility and a discussion of the general environmental impacts of each alternative.

(e) The original of each application shall be signed and verified under oath by an officer of the applicant, having knowledge of the matters therein set forth.

§ 205.323Transferability.

(a) Neither a permit issued by the ERA pursuant to Executive Order 10485, as amended, nor the facility shall be transferable or assignable. Provided written notice is given to the ERA within 30 days, the authorization may continue in effect temporarily in the event of the involuntary transfer of the facility by operation of law (including transfers to receivers, trustees, or purchases under foreclosure or judicial sale). This continuance is contingent on the filing of an application for a new permit and may be effective until a decision is made thereon.

(b) In the event of a proposed voluntary transfer of the facility, the permittee and the party to whom the transfer would be made shall file a joint application with the ERA pursuant to this paragraph, setting forth information as required by § 205.320 et seq., together with a statement of reasons for the transfer. The application shall be accompanied by a filing fee pursuant to § 205.326.

(c) No substantial change shall be made in any facility authorized by permit or in the operation thereof unless or until such change has been approved by the ERA.

(d) Permits may be modified or revoked without notice by the President of the United States, or by the Administrator of the ERA after public notice.

§ 205.324Form and style; number of copies.

All applicants shall file an original and two conformed copies of the application and all accompanying documents required under §§ 205.320 through 205.327.

§ 205.325Annual report.

Persons receiving permits to construct, connect, operate or maintain electric transmission facilities at international boundaries shall submit to the ERA, by February 15 each year, a report covering each month of the preceding calendar year, detailing by category the gross amount of kilowatt-hours of energy received or delivered and the cost and revenue associated with each category.

§ 205.326Filing procedures and fees.

Applications shall be forwarded to the Office of Utility Systems of the Economic Regulatory Administration and shall be accompanied by a filing fee of $150. The application fee will be charged irrespective of the ERA's disposition of the application. Fee payment shall be by check, draft, or money order payable to the Treasurer of the United States. Copies of applications shall be furnished to the Federal Energy Regulatory Commission and all affected State public utility regulatory agencies.

§ 205.327Other information.

The applicant may be required after filing the application to furnish such supplemental information as the ERA may deem pertinent. Such requests shall be written and a prompt response will be expected. Protest regarding the supplying of such information should be directed to the Administrator of the ERA.

(a) NEPA Compliance. Except as provided in paragraphs (c) and (e) of this section, when an applicant seeks a Presidential Permit, such applicant will be responsible for the costs of preparing any necessary environmental document, including an Environmental Impact Statement (EIS), arising from ERA's obligation to comply with the National Environmental Policy Act of 1969 (NEPA). ERA will determine whether an environmental assessment (EA) or EIS is required within 45 days of the receipt of the Presidential Permit application and of environmental information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will use these and other sources of information as the basis for making the environmental determination:

(1) If an EIS is determined to be necessary, the applicant shall enter into a contract with an independent third party, which may be a Government-owned, contractor-operated National Laboratory, or a qualified private entity selected by ERA. The third party contractor must be qualified to conduct an environmental review and prepare an EIS, as appropriate, under the supervision of ERA, and may not have a financial or other interest in the outcome of the proceedings. The NEPA process must be completed and approved before ERA will issue a Presidential Permit.

(2) If an EA is determined to be necessary, the applicant may be permitted to prepare an environmental assessment pursuant to 10 CFR 1506.5(b) for review and adoption by ERA, or the applicant may enter into a third party contract as set forth in this section.

(b) Environmental Review Procedure. Except as provided in paragraphs (c) and (e) of this section, environmental documents, including the EIS, where necessary, will be prepared utilizing the process set forth above. ERA, the applicant, and the independent third party, which may be a Government-owned, contractor-operated National Laboratory or a private entity, shall enter into an agreement in which the applicant will engage and pay directly for the services of the qualified third party to prepare the necessary environmental documents. The agreement shall outline the responsibilities of each party and its relationship to the other two parties regarding the work to be done or supervised. ERA shall approve the information to be developed and supervise the gathering, analysis and presentation of the information. In addition, ERA will have the authority to approve and modify any statement, analysis, and conclusion contained in the environmental documents prepared by the third party. Before commencing preparation of the environmental document the third party will execute an ERA-prepared disclosure document stating that it does not have any conflict of interest, financial or otherwise, in the outcome of either the environmental process or the Permit application.

(c) Financial Hardship. Whenever ERA determines that a project is no longer economically feasible, or that a substantial financial burden would be imposed by the applicant bearing all of the costs of the NEPA studies, ERA may waive the requirement set forth in paragraphs (a) and (b) of this section and perform the necessary environmental review, completely or in part, with its own resources.

(d) Discussions Prior to Filing. Prior to the preparation of any Presidential Permit application and environmental report, a potential applicant is encouraged to contact ERA and each affected State public utility regulatory agency to discuss the scope of the proposed project and the potential for joint State and Federal environmental review.

(e) Federal Exemption. Upon a showing by the applicant that it is engaged in the transaction of official business of the Federal Government in filing the application pursuant to 10 CFR 205.320 et seq., it will be exempt from the requirements of this section.

(a) NEPA Compliance. Except as provided in paragraph (b) and (e) of this section, applicants seeking Presidential Permits will be financially responsible for the expenses of any contractor chosen by ERA to prepare any necessary environmental document arising from ERA's obligation to comply with the National Environmental Policy Act of 1969 (NEPA) in issuing such Presidential Permits:

(1) ERA will determine whether an Environmental Impact Statement (EIS) or an Environmental Assessment (EA) is required within 45 days of receipt of the Presidential Permit application and of the environmental information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will use these and other sources of information as the basis for making the environmental determination.

(2) If an EIS is determined to be necessary, ERA will notify the applicant of the fee for completing the EIS within 90 days after the submission of the application and environmental information. The fee shall be based on the expenses estimated to be incurred by DOE in contracting to prepare the EIS (i.e., the estimated fee charges to ERA by the contractor). DOE employee salaries and other fixed costs, as set forth in OMB Circular A-25, shall not be included in the applicant's fee. Fee payment shall be by check, draft, or money order payable to the Treasurer of the United States, and shall be submitted to ERA. Upon submission of fifty percent of the environmental fee, ERA will provide to the applicant a tentative schedule for completion of the EIS.

(3) If an EA is determined to be necessary, the applicant may be permitted to prepare an environmental assessment pursuant to 40 CFR 1506.5(b) for review and adoption by ERA, or the applicant may choose to have ERA prepare the EA pursuant to the fee procedures set forth above.

(4) The NEPA process must be completed and approved before ERA will issue a Presidential Permit.

(b) Financial Hardship. Whenever ERA determines that a project is no longer economically feasible, or that a substantial financial burden would be imposed by the applicant bearing all of the costs of the NEPA studies, ERA may waive the requirement set forth in paragraphs (a) and (b) of this section and perform the necessary environmental review, completely or in part, with its own resources.

(c) Discussions Prior to Filing. Prior to the preparation of any Presidential Permit application and environmental assessment, a potential applicant is encouraged to contact ERA and each affected State public utility regulatory agency to discuss the scope of the proposed project and the potential for joint State and Federal environmental review.

(d) Fee Payment. The applicant shall make fee payment for completing the EIS to ERA in the following manner:

(1) 50 percent of the total amount due to be paid within 30 days of receipt of the fee information from DOE;

(2) 25 percent to be paid upon publication of the draft EIS; and

(3) 25 percent to be paid upon publication of the final EIS.

If costs are less than the amount collected, ERA will refund to the applicant the excess fee collected. If costs exceed the initial fee, ERA will fund the balance, unless the increase in costs is caused by actions or inactions of the applicant, such as the applicant's failure to submit necessary environmental information in a timely fashion. If the application is withdrawn at any stage prior to issuance of the final EIS, the fee will be adjusted to reflect the costs actually incurred; payment shall be made by the applicant within 30 days of above referenced events.

(e) Federal Exemption. Upon a showing by the applicant that it is engaged in the transaction of official business of the Federal Government in filing an application pursuant to 10 CFR 205.320 et seq., it will be exempt from the requirements of this section.

[48 FR 33820, July 25, 1983]Report of Major Electric Utility System EmergenciesAuthority:

The purpose of this rule is to establish a procedure for the Office of International Affairs and Energy Emergencies (IE) to obtain current information regarding emergency situations on the electric energy supply systems in the United States so that appropriate Federal emergency response measures can be implemented in a timely and effective manner. The data also may be utilized in developing legislative recommendations and reports to the Congress.

(Approved by the Office of Management and Budget under control number 1901-0288)§ 205.351Reporting requirements.

For the purpose of this section, a report or a part of a report may be made jointly by two or more entities. Every electric utility or other entity engaged in the generation, transmission or distribution of electric energy for delivery and/or sale to the public shall report promptly, through the DOE Emergency Operations Center, by telephone, the occurrence of any event such as described in paragraphs (a) through (d) of this section. These reporting procedures are mandatory. Entities that fail to comply within 24 hours will be contacted and reminded of their reporting obligation.

(a) Loss of Firm System Loads, caused by:

(1) Any load shedding actions resulting in the reduction of over 100 megawatts (MW) of firm customer load for reasons of maintaining the continuity of the bulk electric power supply system.

(2) Equipment failures/system operational actions attributable to the loss of firm system loads for a period in excess of 15 minutes, as described below:

(i) Reports from entities with a previous year recorded peak load of over 3000 MW are required for all such losses of firm loads which total over 300 MW.

(ii) Reports from all other entities are required for all such losses of firm loads which total over 200 MW or 50 percent of the system load being supplied immediately prior to the incident, whichever is less.

(3) Other events or occurrences which result in a continuous interruption for 3 hours or longer to over 50,000 customers, or more than 50 percent of the total customers being served immediately prior to the interruption, whichever is less.

(b) Voltage Reductions or Public Appeals:

(1) Reports are required for any anticipated or actual system voltage reductions of 3 percent or greater for purposes of maintaining the continuity of the bulk electric power supply system.

(2) Reports are required for any issuance of a public appeal to reduce the use of electricity for purposes of maintaining the continuity of the bulk electric power system.

(c) Vulnerabilities that could Impact System Reliability:

(1) Reports are required for any actual or suspected act(s) of physical sabotage (not vandalism) or terrorism directed at an electric power supply system, local or regional, in an attempt to either:

(i) Disrupt or degrade the service reliability of the local or regional bulk electric power supply system, or

(2) Reports are required for any abnormal emergency system operating condition(s) or other event(s) which in the judgment of the reporting entity could or would constitute a hazard to maintaining the continuity of the bulk electric power supply system. Examples will be provided in the DOE pamphlet on reporting procedures.

(d) Fuel Supply Emergencies:

(1) Reports are required for any anticipated or existing fuel supply emergency situation which would threaten the continuity of the bulk electric power supply system, such as:

(i) Fuel stocks or hydro project water storage levels are at 50 percent (or less) of normal for that time of the year, and a continued downward trend is projected.

(ii) Unscheduled emergency generation is dispatched causing an abnormal use of a particular fuel type, such that the future supply or stocks of that fuel could reach a level which threatens the reliability or adequacy of electric service.

(Approved by the Office of Management and Budget under control number 1901-0288)§ 205.352Information to be reported.

The emergency situation data shall be supplied to the DOE Emergency Operations Center in accordance with the current DOE pamphlet on reporting procedures. The initial report shall include the utility name; the area affected; the time of occurrence of the initiating event; the duration or an estimate of the likely duration; an estimate of the number of customers and amount of load involved; and whether any known critical services such as hospitals, military installations, pumping stations or air traffic control systems, were or are interrupted. To the extent known or reasonably suspected, the report shall include a description of the events initiating the disturbance. The DOE may require further clarification during or after restoration of service.

(Approved by the Office of Management and Budget under control number 1901-0288)§ 205.353Special investigation and reports.

If directed by the Director, Office of Energy Emergency Operations in writing and noticed in the Federal Register, a utility or other subject entity experiencing a condition described in § 205.351 above shall submit a full report of the technical circumstances surrounding a specific power system disturbance, including the restoration procedures utilized. The report shall be filed at such times as may be directed by the Director, Office of Energy Emergency Operations.

(Approved by the Office of Management and Budget under control number 1901-0288)Emergency Interconnection of Electric Facilities and the Transfer of Electricity to Alleviate an Emergency Shortage of Electric PowerAuthority:

Sections 202(c) and 202(d) of the Federal Power Act are applicable to any “entity” which owns or operates electric power generation, transmission or distribution facilities. An “entity” is a private or public corporation (utility), a governmental agency, a municipality, a cooperative or a lawful association of the foregoing. Under this section, the DOE has the authority to order the temporary connection of facilities, or the generation or delivery of electricity, which it deems necessary to alleviate an emergency. Such orders shall be effective for the time specified and will be subject to the terms and conditions the DOE specifies. The DOE retains the right to cancel, modify or otherwise change any order, with or without notice, hearing, or report. Requests for action under these regulations will be accepted from any “entity,” State Public Utility Commission, State Energy Agency, or State Governor. Actions under these regulations also may be initiated by the DOE on its own motion. Orders under this authority may be made effective without prior notice.

§ 205.371Definition of emergency.

“Emergency,” as used herein, is defined as an unexpected inadequate supply of electric energy which may result from the unexpected outage or breakdown of facilities for the generation, transmission or distribution of electric power. Such events may be the result of weather conditions, acts of God, or unforeseen occurrences not reasonably within the power of the affected “entity” to prevent. An emergency also can result from a sudden increase in customer demand, an inability to obtain adequate amounts of the necessary fuels to generate electricity, or a regulatory action which prohibits the use of certain electric power supply facilities. Actions under this authority are envisioned as meeting a specific inadequate power supply situation. Extended periods of insufficient power supply as a result of inadequate planning or the failure to construct necessary facilities can result in an emergency as contemplated in these regulations. In such cases, the impacted “entity” will be expected to make firm arrangements to resolve the problem until new facilities become available, so that a continuing emergency order is not needed. Situations where a shortage of electric energy is projected due solely to the failure of parties to agree to terms, conditions or other economic factors relating to service, generally will not be considered as emergencies unless the inability to supply electric service is imminent. Where an electricity outage or service inadequacy qualifies for a section 202(c) order, contractual difficulties alone will not be sufficient to preclude the issuance of an emergency order.

§ 205.372Filing procedures; number of copies.

An original and two conformed copies of the applications and reports required under §§ 205.370 through 205.379 shall be filed with the Division of Power Supply and Reliability, Department of Energy. Copies of all documents also shall be served on:

(a) The Federal Energy Regulatory Commission;

(b) Any State Regulatory Agency having responsibility for service standards, or rates of the “entities” that are affected by the requested order;

(c) Each “entity” suggested as a potential source for the requested emergency assistance;

(d) Any “entity” that may be a potential supplier of transmission services;

(e) All other “entities” not covered under paragraphs (c) and (d) of this section which may be directly affected by the requested order; and

(f) The appropriate Regional Reliability Council.

§ 205.373Application procedures.

Every application for an emergency order shall set forth the following information as required. This information shall be considered by the DOE in determining that an emergency exists and in deciding to issue an order pursuant to sections 202(c) and 202(d) of the Federal Power Act.

(a) The exact legal name of the applicant and of all other “entities” named in the application.

(b) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed.

(c) The political subdivision in which each “entity” named in the application operates, together with a brief description of the area served and the business conducted in each location.

(d) Each application for a section 202(c) order shall include the following baseline data:

(1) Daily peak load and energy requirements for each of the past 30 days and projections for each day of the expected duration of the emergency;

(2) All capacity and energy receipts or deliveries to other electric utilities for each of the past 30 days, indicating the classification for each transaction;

(3) The status of all interruptible customers for each of the past 30 days and the anticipated status of these customers for each day of the expected duration of the emergency, assuming both the granting and the denial of the relief requested herein;

(4) All scheduled capacity and energy receipts or deliveries to other electric utilities for each day of the expected duration of the emergency.

(e) A description of the situation and a discussion of why this is an emergency, including any necessary background information. This should include any contingency plan of the applicant and the current level of implementation.

(f) A showing that adequate electric service to firm customers cannot be maintained without additional power transfers.

(g) A description of any conservation or load reduction actions that have been implemented. A discussion of the achieved or expected results or these actions should be included.

(h) A description of efforts made to obtain additional power through voluntary means and the results of such efforts; and a showing that the potential sources of power and/or transmission services designated pursuant to paragraphs (i) through (k) of this section informed that the applicant believed that an emergency existed within the meaning of § 205.371.

(i) A listing of proposed sources and amounts of power necessary from each source to alleviate the emergency and a listing of any other “entities” that may be directly affected by the requested order.

(j) Specific proposals to compensate the supplying “entities” for the emergency services requested and to compensate any transmitting “entities” for services necessary to deliver such power.

(k) A showing that, to the best of the applicant's knowledge, the requested relief will not unreasonably impair the reliability of any “entity” directly affected by the requested order to render adequate service to its customers.

(l) Description of the facilities to be used to transfer the requested emergency service to the applicant's system.

(1) If a temporary interconnection under the provisions of section 202(c) is proposed independently, the following additional information shall be supplied for each such interconnection:

(i) Proposed location;

(ii) Required thermal capacity or power transfer capability of the interconnection;

(vi) The projected length of time necessary to complete the interconnection.

(2) If the requested emergency assistance is to be supplied over existing facilities, the following information shall be supplied for each existing interconnection:

(i) Location;

(ii) Thermal capacity of power transfer capability of interconnection facilities; and

(iii) Type and duration of emergency services requested.

(m) A general or key map on a scale not greater than 100 kilometers to the centimeter showing, in separate colors, the territory serviced by each “entity” named in the application; the location of the facilities to be used for the generation and transmission of the requested emergency service; and all connection points between systems.

(n) An estimate of the construction costs of any proposed temporary facilities and a statement estimating the expected operation and maintenance costs on an annualized basis. (Not required on section 202(d) applications.)

(o) Applicants may be required to furnish such supplemental information as the DOE may deem pertinent.

§ 205.374Responses from “entities” designated in the application.

Each “entity” designated as a potential source of emergency assistance or as a potential supplier of transmission services and which has received a copy of the application under § 205.373, shall have three (3) calendar days from the time of receipt of the application to file the information designated below with the DOE. The DOE will grant extensions of the filing period when appropriate. The designated “entities” shall provide an analysis of the impact the requested action would have on its system reliability and its ability to supply its own interruptible and firm customers. The effects of the requested action on the ability to serve firm loads shall be clearly distinguished from the ability to serve contractually interruptible loads. The designated “entity” also may provide other information relevant to the requested action, which is not included in the reliability analysis. Copies of any response shall be provided to the applicant, the Federal Energy Regulatory Commission, any State Regulatory Agency having responsibility for service standards or rates of any “entity” that may be directly involved in the proposed action, and the appropriate Regional Electric Reliability Council. Pursuant to section 202(c) of the Federal Power Act, DOE may issue an emergency order even though a designated “entity” has failed to file a timely response.

§ 205.375Guidelines defining inadequate fuel or energy supply.

An inadequate utility system fuel inventory or energy supply is a matter of managerial and engineering judgment based on such factors as fuels in stock, fuels en route, transportation time, and constraints on available storage facilities. A system may be considered to have an inadequate fuel or energy supply capability when, combined with other conditions, the projected energy deficiency upon the applicant's system without emergency action by the DOE, will equal or exceed 10 percent of the applicant's then normal daily net energy for load, or will cause the applicant to be unable to meet its normal peak load requirements based upon use of all of its otherwise available resources so that it is unable to supply adequate electric service to its ultimate customers. The following conditions will be considered in determining that a system has inadequate fuel or energy supply capability:

(1) System coal stocks are reduced to 30 days (or less) of normal burn days and a continued downward trend in stock is projected;

(2) System residual oil stocks are reduced to 15 days (or less) of normal burn days and a continued downward trend in stocks is projected;

(3) System distillate oil stocks which cannot be replaced by alternate fuels are reduced to 15 days (or less) of normal burn days and a continued downward trend in stocks is projected;

(4) System natural gas deliveries which cannot be replaced by alternate fuels have been or will be reduced 20 percent below normal requirements and no improvement in natural gas deliveries is projected within 30 days;

(5) Delays in nuclear fuel deliveries will extend a scheduled refueling shutdown by more than 30 days; and

(6) Water supplies required for power generation have been reduced to the level where the future adequacy of the power supply may be endangered and no near term improvement in water supplies is projected.

The use of the prescribed criteria does not preclude an applicant from claiming the existence of an emergency when its stocks of fuel or water exceed the amounts and time frames specified above.§ 205.376Rates and charges.

The applicant and the generating or transmitting systems from which emergency service is requested are encouraged to utilize the rates and charges contained in approved existing rate schedules or to negotiate mutually satisfactory rates for the proposed transactions. In the event that the DOE determines that an emergency exists under section 202(c), and the “entities” are unable to agree on the rates to be charged, the DOE shall prescribe the conditions of service and refer the rate issues to the Federal Energy Regulatory Commission for determination by that agency in accordance with its standards and procedures.

§ 205.377Reports.

In addition to the information specified below, the DOE may require additional reports as it deems necessary.

(a) Where the DOE has authorized the temporary connection of transmission facilities, all “entities” whose transmission facilities are thus temporarily interconnected shall report the following information to the DOE within 15 days following completion of the interconnection:

(1) The date the temporary interconnection was completed;

(2) The location of the interconnection;

(3) A description of the interconnection; and

(4) A one-line electric diagram of the interconnection.

(b) Where the DOE orders the transfer of power, the “entity” receiving such service shall report the following information to the DOE by the 10th of each month for the preceding month's activity for as long as such order shall remain in effect:

(1) Amounts of capacity and/or energy received each day;

(2) The name of the supplier;

(3) The name of any “entity” supplying transmission services; and

(4) Preliminary estimates of the associated costs.

(c) Where the DOE has approved the installation of permanent facilities that will be used only during emergencies, any use of such facilities shall be reported to the DOE within 24 hours. Details of such usage shall be furnished as deemed appropriate by the DOE after such notification.

(d) Any substantial change in the information provided under § 205.373 shall be promptly reported to the DOE.

(Approved by the Office of Management and Budget under Control No. 1904-0066)[46 FR 39989, Aug. 6, 1981, as amended at 46 FR 63209, Dec. 31, 1981]§ 205.378Disconnection of temporary facilities.

Upon the termination of any emergency for the mitigation of which the DOE ordered the construction of temporary facilities, such facilities shall be disconnected and any temporary construction removed or otherwise disposed of, unless application is made as provided in § 205.379 for permanent connection for emergency use. This disconnection and removal of temporary facilities shall be accomplished within 30 days of the termination of the emergency unless an extension is granted by the DOE. The DOE shall be notified promply when such removal of facilities is completed.

§ 205.379Application for approval of the installation of permanent facilities for emergency use only.

Application for DOE approval of a permanent connection for emergency use only shall conform with the requirements in § 205.373. However, the baseline data specified in § 205.373(d) need not be included in an application made under this section. In addition, the application shall state in full the reasons why such permanent connection for emergency use is in the public interest.

PART 207—COLLECTION OF INFORMATIONSubpart A—Collection of Information Under the Energy Supply and Environmental Coordination Act of 1974Sec.207.1Purpose.207.2Definitions.207.3Method of collecting energy information under ESECA.207.4Confidentiality of energy information.207.5Violations.207.6Notice of probable violation and remedial order.207.7Sanctions.207.8Judicial actions. 207.9Exceptions, exemptions, interpretations, rulings and rulemaking.Authority:

Person means any natural person, corporation, partnership, association, consortium, or any entity organized for a common business purpose, wherever situated, domiciled, or doing business, who directly or through other persons subject to their control does business in any part of the United States.

United States, when used in the geographical sense, means the States, the District of Columbia, Puerto Rico, and the territories and possessions of the United States.

§ 207.3Method of collecting energy information under ESECA.

(a) Whenever the Administrator determines that:

(1) Certain energy information is necessary to assist in the formulation of energy policy or to carry out the purposes of the ESECA of the EPAA; and

(2) Such energy information is not available to DOE under the authority of statutes other than ESECA or that such energy information should, as a matter of discretion, be collected under the authority of ESECA;

He shall require reports of such information to be submitted to DOE at least every ninety calendar days.

(b) The Administrator may require such reports of any person who is engaged in the production, processing, refining, transportation by pipeline, or distribution (at other than the retail level) of energy resources.

(c) The Administrator may require such reports by rule, order, questionnaire, or such other means as he determines appropriate.

(d) Whenever reports of energy information are requested under this subpart, the rule, order, questionnaire, or other means requesting such reports shall contain (or be accompanied by) a recital that such reports are being requested under the authority of ESECA.

(e) In addition to requiring reports, the Administrator may, at his discretion, in order to obtain energy information under the authority of ESECA:

(1) Sign and issue subpoenas in accordance with the provisions of § 205.8 of this chapter for the attendance and testimony of witnesses and the production of books, records, papers, and other documents;

(2) Require any person, by rule or order, to submit answers in writing to interrogatories, requests for reports or for other information, with such answers or other submissions made within such reasonable period as is specified in the rule or order, and under oath; and

(3) Administer oaths.

Any such subpoena or rule or order shall contain (or be accompanied by) a recital that energy information is requested under the authority of ESECA.

(f) For the purpose of verifying the accuracy of any energy information requested, acquired, or collected by the DOE, the Administrator, or any officer or employee duly designated by him, upon presenting appropriate credentials and a written notice from the Administrator to the owner, operator, or agent in charge, may—

(1) Enter, at reasonable times, any business premise of facility; and

(2) Inspect, at reasonable times and in a reasonable manner, any such premise or facility, inventory and sample any stock of energy resources therein, and examine and copy books, records, papers, or other documents, relating to any such energy information.

Such written notice shall reasonably describe the premise or facility to be inspected, the stock to be inventoried or sampled, or the books, records, papers or other documents to be examined or copied.§ 207.4Confidentiality of energy information.

(a) Information obtained by the DOE under authority of ESECA shall be available to the public in accordance with the provisions of part 202 of this chapter. Upon a showing satisfactory to the Administrator by any person that any energy information obtained under this subpart from such person would, if made public, divulge methods or processes entitled to protection as trade secrets or other proprietary information of such person, such information, or portion thereof, shall be deemed confidential in accordance with the provisions of section 1905 of title 18, United States Code; except that such information, or part thereof, shall not be deemed confidential pursuant to that section for purposes of disclosure, upon request, to (1) any delegate of the DOE for the purpose of carrying out ESECA or the EPAA, (2) the Attorney General, the Secretary of the Interior, the Federal Trade Commission, the Federal Power Commission, or the General Accounting Office, when necessary to carry out those agencies’ duties and responsibilities under ESECA and other statutes, and (3) the Congress, or any Committee of Congress upon request of the Chairman.

(b) Whenever the Administrator requests reports of energy information under this subpart, he may specify (in the rule, order or questionnaire or other means by which he has requested such reports) the nature of the showing required to be made in order to satisfy DOE that certain energy information contained in such reports warrants confidential treatment in accordance with this section. He shall, to the maximum extent practicable, either before or after requesting reports, by ruling or otherwise, inform respondents providing energy information pursuant to this subpart of whether such information will be made available to the public pursuant to requests under the Freedom of Information Act (5 U.S.C. 552).

§ 207.5Violations.

Any practice that circumvents or contravenes or results in a circumvention or contravention of the requirements of any provision of this subpart or any order issued pursuant thereto is a violation of the DOE regulations stated in this subpart.

§ 207.6Notice of probable violation and remedial order.

(a) Purpose and scope. (1) This section establishes the procedures for determining the nature and extent of violations of this subpart and the procedures for issuance of a notice of probable violation, a remedial order or a remedial order for immediate compliance.

(2) When the DOE discovers that there is reason to believe a violation of any provision of this subpart, or any order issued thereunder, has occurred, is continuing or is about to occur, the DOE may conduct proceedings to determine the nature and extent of the violation and may issue a remedial order thereafter. The DOE may commence such proceeding by serving a notice of probable violation or by issuing a remedial order for immediate compliance.

(b) Notice of probable violation. (1) The DOE may begin a proceeding under this subpart by issuing a notice of probable violation if the DOE has reason to believe that a violation has occurred, is continuing, or is about to occur.

(2) Within 10 days of the service of a notice of probable violation, the person upon whom the notice is served may file a reply with the DOE office that issued the notice of probable violation at the address provided in § 205.12 of this chapter. The DOE may extend the 10-day period for good cause shown.

(3) The reply shall be in writing and signed by the person filing it. The reply shall contain a full and complete statement of all relevant facts pertaining to the act or transaction that is the subject of the notice of probable violation. Such facts shall include a complete statement of the business or other reasons that justify the act or transaction, it appropriate; a detailed description of the act or transaction; and a full discussion of the pertinent provisions and relevant facts reflected in any documents submitted with the reply. Copies of all relevant documents shall be submitted with the reply.

(4) The reply shall include a discussion of all relevant authorities, including, but not limited to, DOE rulings, regulations, interpretations, and decisions on appeals and exceptions relied upon to support the particular position taken.

(5) The reply should indicate whether the person requests or intends to request a conference regarding the notice. Any request not made at the time of the reply shall be made as soon thereafter as possible to insure that the conference is held when it will be most beneficial. A request for a conference must conform to the requirements of subpart M of part 205 of this chapter.

(6) If a person has not filed a reply with the DOE within the 10-day period provided, and the DOE has not extended the 10-day period, the person shall be deemed to have conceded the accuracy of the factual allegations and legal conclusions stated in the notice of probable violation.

(7) If the DOE finds, after the 10-day period provided in § 207.6(b)(2), that no violation has occurred, is continuing, or is about to occur, or that for any reason the issuance of a remedial order would not be appropriate, it shall notify, in writing, the person to whom a notice of probable violation has been issued that the notice is rescinded.

(c) Remedial order. (1) If the DOE finds, after the 10-day period provided in § 207.6(b)(2), that a violation has occurred, is continuing, or is about to occur, the DOE may issue a remedial order. The order shall include a written opinion setting forth the relevant facts and the legal basis of the remedial order.

(2) A remedial order issued under this subpart shall be effective upon issuance, in accordance with its terms, until stayed, suspended, modified or rescinded. The DOE may stay, suspend, modify or rescind a remedial order on its own initiative or upon application by the person to whom the remedial order is issued. Such action and application shall be in accordance with the procedures for such proceedings provided for in part 205 of this chapter.

(3) A remedial order may be referred at any time to the Department of Justice for appropriate action in accordance with § 207.7.

(d) Remedial order for immediate compliance. (1) Notwithstanding paragraphs (b) and (c) of this section, the DOE may issue a remedial order for immediate compliance, which shall be effective upon issuance and until rescinded or suspended, if it finds:

(i) There is a strong probability that a violation has occurred, is continuing or is about to occur;

(ii) Irreparable harm will occur unless the violation is remedied immediately; and

(iii) The public interest requires the avoidance of such irreparable harm through immediate compliance and waiver of the procedures afforded under paragraphs (b) and (c) of this section.

(2) A remedial order for immediate compliance shall be served promptly upon the person against whom such order is issued by telex or telegram, with a copy served by registered or certified mail. The copy shall contain a written statement of the relevant facts and the legal basis for the remedial order for immediate compliance, including the findings required by paragraph (d)(1) of this section.

(3) The DOE may rescind or suspend a remedial order for immediate compliance if it appears that the criteria set forth in paragraph (d)(1) of this section are no longer satisfied. When appropriate, however, such a suspension or rescission may be accompanied by a notice of probable violation issued under paragraph (b) of this section.

(4) If at any time in the course of a proceeding commenced by a notice of probable violation the criteria set forth in paragraph (d)(1) of this section are satisfied, the DOE may issue a remedial order for immediate compliance, even if the 10-day period for reply specified in § 207.6(b)(2) of this part has not expired.

(5) At any time after a remedial order for immediate compliance has become effective the DOE may refer such order to the Department of Justice for appropriate action in accordance with § 207.7 of this part.

(e) Remedies. A remedial order or a remedial order for immediate compliance may require the person to whom it is directed to take such action as the DOE determines is necessary to eliminate or to compensate for the effects of a violation.

(f) Appeal. (1) No notice of probable violation issued pursuant to this subpart shall be deemed to be an action of which there may be an administrative appeal.

(2) Any person to whom a remedial order or a remedial order for immediate compliance is issued under this subpart may file an appeal with the DOE Office of Exceptions and Appeals in accordance with the procedures for such appeal provided in subpart H of part 205 of this chapter. The appeal must be filed within 10 days of service of the order from which the appeal is taken.

(2) Each day that a violation of the provisions of this subpart or any order issued pursuant thereto continues shall be deemed to constitute a separate violation within the meaning of the provisions of this subpart relating to criminal fines and civil penalties.

(b) Criminal penalties. Any person who willfully violates any provision of this subpart or any order issued pursuant thereto shall be subject to a fine of not more than $5,000 for each violation. Criminal violations are prosecuted by the Department of Justice upon referral by the DOE.

(c) Civil penalties. (1) Any person who violates any provision of this subpart or any order issued pursuant thereto shall be subject to a civil penalty of not more than $2,500 for each violation. Actions for civil penalties are prosecuted by the Department of Justice upon referral by the DOE.

(2) When the DOE considers it to be appropriate or advisable, the DOE may compromise and settle, and collect civil penalties.

§ 207.8Judicial actions.

(a) Enforcement of subpoenas; contempt. Any United States district court within the jurisdiction of which any inquiry is carried on may, upon petition by the Attorney General at the request of the Administrator, in the case of refusal to obey a subpoena or order of the Administrator issued under this subpart, issue an order requiring compliance. Any failure to obey such an order of the court may be punished by the court as contempt.

(b) Injunctions. Whenever it appears to the Administrator that any person has engaged, is engaged, or is about to engage in any act or practice constituting a violation of any regulation or order issued under this subpart, the Administrator may request the Attorney General to bring a civil action in the appropriate district court of the United States to enjoin such acts or practices and, upon a proper showing, a temporary restraining order or preliminary or permanent injunction shall be granted without bond. The relief sought may include a mandatory injunction commanding any person to comply with any provision of such order or regulation, the violation of which is prohibited by section 12(a) of ESECA, as implemented by this subpart.

Applications for exceptions, exemptions or requests for interpretations relating to this subpart shall be filed in accordance with the procedures provided in subparts D, E and F, respectively, of part 205 of this chapter. Rulings shall be issued in accordance with the procedures of subpart K of part 205 of this chapter. Rulemakings shall be undertaken in accordance with the procedures provided in subpart L of part 205 of this chapter.

PART 209—INTERNATIONAL VOLUNTARY AGREEMENTSSubpart A—General ProvisionsSec.209.1Purpose and scope.209.2Delegation.209.3Definitions.Subpart B—Development of Voluntary Agreements209.21Purpose and scope.209.22Initiation of meetings.209.23Conduct of meetings.209.24Maintenance of records.Subpart C—Carrying Out of Voluntary Agreements and Developing and Carrying Out of Plans of Actions209.31Purpose and scope.209.32Initiation of meetings.209.33Conduct of meetings.209.34Maintenance of records.Subpart D—Availability of Information Relating to Meetings and Communications209.41Availability of information relating to meetings and communications.Authority:

This part implements the provisions of the Energy Policy and Conservation Act (EPCA) authorizing the Administrator to prescribe standards and procedures by which persons engaged in the business of producing, transporting, refining, distributing, or storing petroleum may develop and carry out voluntary agreements, and plans of action which are required to implement the information and allocation provisions of the International Energy Program (IEP). The requirements of this part do not apply to activities other than those for which section 252 of EPCA makes available a defense to the antitrust laws.

§ 209.2Delegation.

To the extent otherwise permitted by law, any authority, duty, or responsibility vested in DOE or the Administrator under these regulations may be delegated to any regular full-time employee of the Department of Energy, and, by agreement, to any regular full-time employee of the Department of Justice or the Department of State.

§ 209.3Definitions.

For purposes of this part—

(a) Administrator means the Administrator of the Department of Energy.

(b) Information and allocation provisions of the International Energy Program means the provisions of chapter V of the Program relating to the Information System, and the provisions at chapters III and IV thereof relating to the international allocation of petroleum.

(c) International Energy Agency (IEA) means the International Energy Agency established by Decision of the Council of the Organization for Economic Cooperation and Development, dated November 15, 1974.

(d) International Energy Program (IEP) means the program established pursuant to the Agreement on an International Energy Program signed at Paris on November 18, 1974, including (1) the Annex entitled “Emergency Reserves”, (2) any amendment to such Agreement which includes another nation as a Party to such Agreement, and (3) any technical or clerical amendment to such Agreement.

(e) International energy supply emergency means any period (1) beginning on any date which the President determines allocation of petroleum products to nations participating in the international energy program is required by chapters III and IV of such program, and (2) ending on a date on which he determines such allocation is no longer required. Such a period shall not exceed 90 days, except where the President establishes one or more additional periods by making the determination under paragraph (e)(1) of this section.

(f) Potential participant means any person engaged in the business of producing, transporting, refining, distributing, or storing petroleum products; “participant” means any such person who agrees to participate in a voluntary agreement pursuant to a request to do so by the Administrator.

(a) This subpart establishes the standards and procedures by which persons engaged in the business of producing, transporting, refining, distributing. or storing petroleum products shall develop voluntary agreements which are required to implement the allocation and information provisions of the International Energy Program.

(b) This subpart does not apply to meetings of bodies created by the International Energy Agency.

§ 209.22Initiation of meetings.

(a) Any meeting held for the purpose of developing a voluntary agreement involving two or more potential participants shall be initiated and chaired by the Administrator or other regular full-time Federal employee designated by him.

(b) DOE shall provide notice of meetings held pursuant to this subpart, in writing, to the Attorney General, the Federal Trade Commission, and to the Speaker of the House and the President of the Senate for delivery to the appropriate committees of Congress, and to the public through publication in the Federal Register. Such notice shall identify the time, place, and agenda of the meeting, and such other matters as the Administrator deems appropriate. Notice in the Federal Register shall be published at least seven days prior to the date of the meeting.

§ 209.23Conduct of meetings.

(a) Meetings to develop a voluntary agreement held pursuant to this subpart shall be open to all interested persons. Interested persons desiring to attend meetings under this subpart may be required pursuant to notice to advise the Administrator in advance.

(b) Interested persons may, as set out in notice provided by the Administrator, present data, views, and arguments orally and in writing, subject to such reasonable limitations with respect to the manner of presentation as the Administrator may impose.

§ 209.24Maintenance of records.

(a) The Administrator shall keep a verbatim transcript of any meeting held pursuant to this subpart.

(b)(1) Except as provided in paragraphs (b) (2) through (4) of this section, potential participants shall keep a full and complete record of any communications (other than in a meeting held pursuant to this subpart) between or among themselves for the purpose of developing a voluntary agreement under this part. When two or more potential participants are involved in such a communication, they may agree among themselves who shall keep such record. Such record shall include the names of the parties to the communication and the organizations, if any, which they represent; the date of the communication; the means of communication; and a description of the communication in sufficient detail to convey adequately its substance.

(2) Where any communication is written (including, but not limited to, telex, telegraphic, telecopied, microfilmed and computer printout material), and where such communication demonstrates on it face that the originator or some other source furnished a copy of the communication to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” marked on the first page of the document, no participant need record such a communication or send a further copy to the Department of Energy. The Department of Energy may, upon written notice to potential participants, from time to time, or with reference to particular types of documents, require deposit with other offices or officials of the Department of Energy. Where such communication demonstrates that it was sent to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” marked on the first page of the document, or such other offices or officials in the Department of Energy has designated pursuant to this section it shall satisfy paragraph (c) of this section, for the purpose of deposit with the Department of Energy.

(3) To the extent that any communication is procedural, administrative or ministerial (for example, if it involves the location of a record, the place of a meeting, travel arrangements, or similar matters), only a brief notation of the date, time, persons involved and description of the communication need be recorded.

(4) To the extent that any communication involves matters which recapitulate matters already contained in a full and complete record, the substance of such matters shall be identified, but need not be recorded in detail, provided that reference is made to the record and the portion thereof in which the substance is fully set out.

(c) Except where the Department of Energy otherwise provides, all records and transcripts prepared pursuant to paragraphs (a) and (b) of this section, shall be deposited within fifteen (15) days after the close of the month of their preparation together with any agreement resulting therefrom, with the Department of Energy, and shall be available to the Department of Justice, the Federal Trade Commission, and the Department of State. Such records and transcripts shall be available for public inspection and copying to the extent set forth in subpart D. Any person depositing material pursuant to this section shall indicate with particularity what portions, if any, the person believes are subject to disclosure to the public pursuant to subpart D and the reasons for such belief.

(d) Any meeting between a potential participant and an official of DOE for the purpose of developing a voluntary agreement shall, if not otherwise required to be recorded pursuant to this section, be recorded by such official as provided in § 204.5.

This subpart establishes the standards and procedures by which persons engaged in the business of producing, transporting, refining, distributing, or storing petroleum products shall carry out voluntary agreements and develop and carry out plans of action which are required to implement the allocation and information provisions of the International Energy Program.

§ 209.32Initiation of meetings.

(a) Except for meetings of bodies created by the International Energy Agency, any meeting among participants in a voluntary agreement pursuant to this subpart, for the purpose of carrying out such voluntary agreement or developing or carrying out a plan of action pursuant thereto, shall be initiated and chaired by a full-time Federal employee designated by the Administrator.

(b) Except as provided in paragraph (c) of this section, the Administrator shall provide notice of meetings held pursuant to this subpart, in writing, to the Attorney General, the Federal Trade Commission, and to the Speaker of the House and the President of the Senate for delivery to the appropriate committees of Congress. Except during an international energy supply emergency, notice shall also be provided to the public through publication in the Federal Register. Such notice shall identify the time, place, and agenda of the meeting. Notice in the Federal Register shall be published at least seven days prior to the date of the meeting unless emergency circumstances, IEP requirements or other unanticipated circumstances require the period to be shortened.

(c) During an international energy supply emergency, advance notice shall be given to the Attorney General, the Federal Trade Commission and to the Speaker of the House and the President of the Senate for delivery to the appropriate committees of Congress. Such notice may be telephonic or by such other means as practicable, and shall be confirmed in writing.

§ 209.33Conduct of meetings.

(a) Subject to the provisions of paragraph (c) of this section, meetings held to carry out a voluntary agreement, or to develop or carry out a plan of action pursuant to this subpart, shall be open to all interested persons, subject to limitations of space. Interested persons desiring to attend meetings under this subpart may be required to advise the Administrator in advance.

(b) Interested persons permitted to attend meetings under this section may present data, views, and arguments orally and in writing, subject to such limitations with respect to the manner of presentation as the Administrator may impose.

(c) Meetings held pursuant to this subpart shall not be open to the public to the extent that the President or his delegate finds that disclosure of the proceedings beyond those authorized to attend would be detrimental to the foreign policy interests of the United States, and determines, in consultation with the Administrator, the Secretary of State, and the Attorney General, that a meeting shall not be open to interested persons or that attendance by interested persons shall be limited.

(d) The requirements of this section do not apply to meetings of bodies created by the International Energy Agency except that no participant in a voluntary agreement may attend any meeting of any such body held to carry out a voluntary agreement or to develop or to carry out a plan of action unless a full-time Federal employee is present.

§ 209.34Maintenance of records.

(a) The Administrator or his delegate shall keep a verbatim transcript of any meeting held pursuant to this subpart except where (1) due to considerations of time or other overriding circumstances, the keeping of a verbatim transcript is not practicable, or (2) principal participants in the meeting are representatives of foreign governments. If any such record other than a verbatim transcript, is kept by a designee who is not a full-time Federal employee, that record shall be submitted to the full-time Federal employee in attendance at the meeting who shall review the record, promptly make any changes he deems necessary to make the record full and complete, and shall notify the designee of such changes.

(b)(1) Except as provided in paragraphs (b) (2) through (4) of this section, participants shall keep a full and complete record of any communication (other than in a meeting held pursuant to this subpart) between or among themselves or with any other member of a petroleum industry group created by the International Energy Agency, or subgroup thereof for the purpose of carrying out a voluntary agreement or developing or carrying out a plan of action under this subpart, except that where there are several communications within the same day involving the same participants, they may keep a cumulative record for the day. The parties to a communication may agree among themselves who shall keep such record. Such record shall include the names of the parties to the communication and the organizations, if any, which they represent; the date of communication; the means of communication, and a description of the communication in sufficient detail to convey adequately its substance.

(2) Where any communication is written (including, but not limited to, telex, telegraphic, telecopied, microfilmed and computer printout material), and where such communication demonstrates on its face that the originator or some other source furnished a copy of the communication to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” on the first page of the document, no participants need record such a communication or send a further copy to the Department of Energy. The Department of Energy may, upon written notice to participants, from time to time, or with reference to particular types of documents, require deposit with other offices or officials of the Department of Energy. Where such communication demonstrates that it was sent to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” on the first page of the document, or such other offices or officials as the Department of Energy has designated pursuant to this section, it shall satisfy paragraph (c) of this section, for the purpose of deposit with the Department of Energy.

(3) To the extent that any communication is procedural, administrative or ministerial (for example, if it involves the location of a record, the place of a meeting, travel arrangements, or similar matters) only a brief notation of the date, time, persons involved and description of the communication need be recorded; except that during an IEA emergency allocation exercise or an allocation systems test such a non-substantive communication between members of the Industry Supply Advisory Group (ISAG) which occur within IEA headquarters need not be recorded.

(4) To the extent that any communication involves matters which recapitulate matters already contained in a full and complete record, the substance of such matters shall be identified, but need not be recorded in detail, provided that reference is made to the record and the portion thereof in which the substance is fully set out.

(c) Except where the Department of Energy otherwise provides, all records and transcripts prepared pursuant to paragraphs (a) and (b) of this section, shall be deposited within seven (7) days after the close of the week (ending Saturday) of their preparation during an international energy supply emergency or a test of the IEA emergency allocation system, and within fifteen (15) days after the close of the month of their preparation during periods of non-emergency, together with any agreement resulting therefrom, with the Department of Energy and shall be available to the Department of Justice, the Federal Trade Commission, and the Department of State. Such records and transcripts shall be available for public inspection and copying to the extent set forth in subpart D. Any person depositing materials pursuant to this section shall indicate with particularity what portions, if any, the person believes are not subject to disclosure to the public pursuant to subpart D and the reasons for such belief.

(d) Any meeting between a participant and an official of DOE for the purpose of carrying out a voluntary agreement or developing or carrying out a plan of action shall, if not otherwise required to be recorded pursuant to this section, be recorded by such official as provided in § 204.5.

(e) During international oil allocation under chapters III and IV of the IEP or during an IEA allocation systems test, the Department of Energy may issue such additional guidelines amplifying the requirements of these regulations as the Department of Energy determines to be necessary and appropriate.

(a) Except as provided in paragraph (b) of this section, records or transcripts prepared pursuant to this subpart shall be available for public inspection and copying in accordance with section 552 of title 5, United States Code and part 202 of this title.

(b) Matter may be withheld from disclosure under section 552(b) of title 5 only on the grounds specified in:

(1) Section 552(b)(1), applicable to matter specifically required by Executive Order to be kept secret in the interest of the national defense or foreign policy. This section shall be interpreted to include matter protected under Executive Order No. 11652 of March 8, 1972, establishing categories and criteria for classification, as well as any other such orders dealing specifically with disclosure of IEP related materials;

(2) Section 552(b)(3), applicable to matter specifically exempted from disclosure by statute; and

(a) The recordkeeping requirements that were in effect on January 27, 1981, in parts 210, 211, and 212 will remain in effect for (1) all transactions prior to February 1, 1981; and (2) all allowed expenses incurred and paid prior to April 1, 1981 under § 212.78 of part 212. These requirements include, but are not limited to, the requirements that were in effect on January 27, 1981, in § 210.92 of this part; in §§ 211.67(a)(5)(ii); 211.89; 211.109, 211.127; and 211.223 of part 211; and in §§ 212.78(h)(5)(ii); 212.78(h)(6); 212.83(c)(2)(iii)(E)(I); 212.83(c)(2)(iii)(E)(II); 212.83(c)(2)(iii); “Fi t”; 212.83(i); 212.93(a); 212.93(b)(4)(iii)(B)(I); 212.93(i)(4); 212.94(b)(2)(iii); 212.128; 212.132; 212.172; and § 212.187 of part 212.

(b) Effective February 5, 1985, paragraph (a) of this section shall apply, to the extent indicated, only to firms in the following categories. A firm may be included in more than one category, and a firm may move from one category to another. The fact that a firm becomes no longer subject to the recordkeeping requirements of one category shall not relieve that firm of compliance with the recordkeeping requirements of any other category in which the firm is still included.

(1) Those firms which are or become parties in litigation with DOE, as defined in paragraph (c)(1) of this section. Any such firm shall remain subject to paragraph (a) of this section. DOE shall notify the firm in writing of the final resolution of the litigation and whether or not any of its records must be maintained for a further period. DOE shall notify a firm which must maintain any records for a further period when such records are no longer needed.

(2)(i) Those firms which as of November 30 1984, have completed making all restitutionary payments required by an administrative or judicial order, consent order, or other settlement or order but which payments are on February 5, 1985, still subject to distribution by DOE. This requirement is applicable to only those firms listed in appendix B. Any such firm shall maintain all records for the time period covered by the administrative or judicial order, consent order, or other settlement or order requiring the payments, evidencing sales volume data for each product subject to controls and customers’ names and addresses, until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing that its records are no longer needed.

(ii) Those firms which as of November 30, 1984, are required to make restitutionary or other payments pursuant to an administrative or judicial order, consent order, or other settlement or order. Any such firm shall remain subject to paragraph (a) of this section until the firm completes all restitutionary payments required by the administrative or judicial order, consent order, or other settlement or order. However, after completing all such payments, a firm shall maintain all records described in paragraph (b)(2)(i) of this section until one of the following: Six months after the firm completes all such payments, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing that its records are no longer needed.

(3)(i) Those firms with completed audits in which DOE has not yet made a determination to initiate a formal enforcement action and firms under audit which do not have outstanding subpoenas. Any such firm shall maintain all records for the period covered by the audit including all records necessary to establish historical prices or volumes which serve as the basis for determining the lawful prices or volumes for any subsequent regulated transaction which is subject to audit, until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing by DOE that its records are no longer needed. However, if a firm in this group shall become a party in litigation, the firm shall then be subject to the recordkeeping requirements for firms in litigation set forth in paragraph (b)(1) of this section.

(ii) Those firms under audit which have outstanding subpoenas on February 5, 1985, or which receive subpoenas at any time thereafter or which have supplied records for an audit as the result of a subpoena enforced after November 1, 1983. Any such firm shall remain subject to paragraph (a) of this section until two years after ERA has notified the firm in writing that is in full compliance with the subpoena or until ERA has received from the firm a sworn certification of compliance with the subpoena as required by 10 CFR 205.8. However, if a firm in this group shall become a party in litigation, the firm shall then be subject to the recordkeeping requirements for firms in litigation set forth in paragraph (b)(1) of this section.

(4) Those firms which are subject to requests for data necessary to verify that crude oil qualifies as “newly discovered” crude oil under 10 CFR 212.79. Any such firm shall maintain the records evidencing such data until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of an individual firm's extension; or the firm is notified in writing by DOE that its records are no longer needed. However, if a firm in this group shall become a party in litigation, the firm shall then be subject to the recordkeeping requirements for firms in litigation set forth in paragraph (b)(1) of this section.

(5) Those firms whose records are determined by DOE as necessary to complete the enforcement activity relating to another firm which is also subject to paragraph (a) of this section unless such firms required to keep records have received certified notice letters specifically describing the records determined as necessary. At that time, the specific notice will control the recordkeeping requirements. These firms have been identified in appendix A. Any such firm shall maintain these records until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing by DOE that its records are no longer needed.

(6) Those firms which participated in the Entitlements program. Any such firm shall maintain its Entitlements-related records until six months after the final judicial resolution (including any and all appeals) of Texaco v. DOE, Nos. 84-391, 84-410, and 84-456 (D. Del.), or the firm is notified by DOE that its records are no longer needed, whichever occurs first.

(c) For purposes of this section:

(1) A firm is “a party in litigation” if:

(i)(A) The firm has received a Notice of Probable Violation, a Notice of Probable Disallowance, a Proposed Remedial Order, or a Proposed Order of Disallowance; or

(B) The firm and DOE are parties in a lawsuit arising under the Emergency Petroleum Allocation Act of 1973, as amended (15 U.S.C. 751 et seq.) or 10 CFR parts 205, 210, 211, or 212; and

(ii)(A) There has been no final (that is, non-appealable) administrative or judicial resolution, or

(B) DOE has not informed the firm in writing that the Department has completed its review of the matter.

(2) A firm means any association, company, corporation, estate, individual, joint-venture, partnership, or sole proprietorship, or any other entity, however organized, including charitable, educational, or other eleemosynary institutions, and state and local governments. A firm includes a parent and the consolidated and unconsolidated entities (if any) which it directly or indirectly controls.

The following firms have completed making restitutionary payments to DOE but their payments are still subject to distribution by DOE. Each such firm must maintain relevant records until June 30, 1985, unless this period is extended on a firm-by-firm basis. Relevant records are all records of the firm, including any affiliates, subsidiaries or predecessors in interest, for the time period covered by the judicial or administrative order, consent order, or other settlement or order requiring the payments, evidencing sales volume data for each product subject to controls and customers’ names and addresses.

Annual prepaid expenses report. By January 31 of each year after 1980, the project operator with respect to any enhanced oil recovery project for which a report had been filed previously with DOE pursuant to paragraph (h)(2)(i) of this section as that paragraph was in effect on January 27, 1981, shall file with DOE a report in which the operator shall certify to DOE (a) which of the expenses that had been reported previously to DOE pursuant to paragraph (h)(2)(i) of this section as that paragraph was in effect on January 27, 1981, were prepaid expenses; (b) the goods or services for which such expenses had been incurred and paid; (c) the dates on which such goods or services are intended to be used; (d) the dates on which such goods or services actually are used; (e) the identity of each qualified producer to which such prepaid expenses had been attributed; and (f) the percentage of such prepaid expenses attributed to each such qualified producer. An operator shall file an annual prepaid expenses report each year until it has reported the actual use of all the goods and services for which a prepaid expense had been incurred and paid. For purposes of this paragraph, a prepaid expense is an expense for any injectant or fuel used after September 30, 1981, or an expense for any other item to the extent that IRS would allocate the deductions (including depreciation) for that item to the period after September 30, 1981.

The purpose of this part is to set forth certain requirements pursuant to section 13 of the Federal Energy Administration Act to furnish information concerning foreign crude oil supply arrangements. The authority set out in this section is not exclusive.

§ 215.2Definitions.

As used in this subpart:

Administrator means the Federal Energy Administrator or his delegate.

DOE means the Department of Energy.

Host government means the government of the country in which crude oil is produced and includes any entity which it controls, directly or indirectly.

Person means any natural person, corporation, partnership, association, consortium, or any other entity doing business or domiciled in the U.S. and includes (a) any entity controlled directly or indirectly by such a person and (b) the interest of such a person in any joint venture, consortium or other entity to the extent of entitlement to crude oil by reason of such interest.

§ 215.3Supply reports.

(a) Any person having the right to lift for export by virtue of any equity interest, reimbursement for services, exchange or purchase, from any country, from fields actually in production, (1) an average of 150,000 barrels per day or more of crude oil for a period of at least one year, or (2) a total of 55,000,000 barrels of crude oil for a period of less than one year, or (3) a total of 150,000,000 barrels of crude oil for the period specified in the agreement, pursuant to supply arrangements with the host government, shall report the following information.

(7) Price terms including terms of rebates, discounts, and number of days of credit calculated from the date of loading.

(8) Other payments to or interests retained by the host government (i.e. taxes, royalties, and any other payment to the host government) expressed in terms of the applicable rates or payment or preemption terms, or the base to which those rates or terms are applied.

(9) Related service or other fees and cost of providing services.

(10) Restrictions on shipping or disposition.

(11) Other material contract terms.

(b) Reports under this section shall be made no later than (1) 60 days after final issuance of reporting forms implementing this regulation, as announced in the Federal Register, (2) fourteen days after the date when supply arrangements are entered into, or (3) fourteen days after the initial lifting under an agreement in which the parties have tentatively concurred but not signed, whichever occurs first. Reporting shall be based on actual practice between the parties. Material changes in any item which must be reported pursuant to this section shall be reported no later than 30 days after a person receives actual notice of such changes.

(c) Where reports under this section by each participant in a joint operation would be impracticable, or would result in the submission of inaccurate or misleading information, the participants acting together may designate a single participant to report on any of the rights, obligations, or limitations affecting the operation as a whole. Any such designation shall be signed by a duly authorized representative of each participant, and shall specify:

(1) The precise rights, obligations, or limitations to be covered by the designation; and

(2) The reasons for the designation. Such designations shall be submitted to the Assistant Administrator for International Energy Affairs, and shall take effect only upon his written approval, which may at any time be revoked.

§ 215.4Production of contracts and documents.

Whenever the Administrator determines that certain foreign crude oil supply information is necessary to assist in the formulation of energy policy or to carry out any other function of the Administrator, he may require the production by any person of any agreement or document relating to foreign oil supply arrangements or reports related thereto. Such material shall be provided pursuant to the conditions prescribed by the Administrator at the time of such order or subsequently. As used in this section, the term “agreement” includes proposed or draft agreements, and agreements in which the parties have tentatively concurred but have not yet signed, between or among persons and a host country.

§ 215.5Pricing and volume reports.

To the extent not reported pursuant to § 215.3, any person lifting for export crude oil from a country shall report to the DOE within 30 days of the date on which he receives actual notice:

(a) Any change (including changes in the timing of collection) by the host government in official selling prices, royalties, host government taxes, service fees, quality or port differentials, or any other payments made directly or indirectly for crude oil; changes in participation ratios; changes in concessionary arrangements; and

(b) Any changes in restrictions on lifting, production, or disposition.

§ 215.6Notice of negotiations.

Any person conducting negotiations with a host government which may reasonably lead to the establishment of any supply arrangement subject to reporting pursuant to § 215.3(a), or may reasonably have a significant effect on the terms and conditions of an arrangement subject to § 215.3(a), shall notify DOE of such negotiations. Such notice shall be made no later than the later of 30 days after the effective date of this regulation or within 14 days after such negotiations meet the conditions of this section, and shall specify all persons involved and the host government affected. Notice must be in writing to the Assistant Administrator for International Energy Affairs. Where this notice pertains to negotiations to modify a supply agreement previously reported to the Department of Energy under this part, such notice shall include the agreement serial number assigned to the basic agreement.

PART 216—MATERIALS ALLOCATION AND PRIORITY PERFORMANCE UNDER CONTRACTS OR ORDERS TO MAXIMIZE DOMESTIC ENERGY SUPPLIESSec.216.1Introduction.216.2Definitions.216.3Requests for assistance.216.4Evaluation by DOE of applications.216.5Notification of findings.216.6Petition for reconsideration.216.7Conflict in priority orders.216.8Communications.216.9Violations.Authority:

(a) This part describes and establishes the procedures to be used by the Department of Energy (“DOE”) in considering and making certain findings required by section 101(c)(3) of the Defense Production Act of 1950, as amended, 50 U.S.C. App. 2071(c)(3) (“DPA”). Section 101(c) authorizes the allocation of, or priority performance under contracts or orders (other than contracts of employment) relating to, supplies of materials and equipment in order to maximize domestic energy supplies if the findings described in section 101(c)(3) are made. Among these findings are that such supplies of materials and equipment are critical and essential to maintain or further exploration, production, refining, transportation or the conservation of energy supplies or for the construction and maintenance of energy facilities. The function of finding if such supplies are critical and essential was delegated to the Administrator of the Department of Energy (“DOE”) pursuant to Executive Order 11912 of April 13, 1976, Defense Mobilization Order (“DMO”) No. 13 dated September 22, 1976, 41 FR 43720, and Department of Commerce, Bureau of Domestic Commerce, Delegation No. 4, effective date December 1, 1976, 41 FR 52331. Delegation No. 4 was superseded by Defense Priorities and Allocations System Delegation No. 2, effective date August 29, 1984, 49 FR 30430. On October 1, 1977, pursuant to section 301(a) of the Department of Energy Organization Act (Pub. L. 95-91), all of the functions of DOE and all of the functions of the DOE Administrator were transferred to the Secretary of Energy.

(b) The purpose of these regulations is to establish the procedures and the criteria to be used by DOE in determining whether programs or projects maximize domestic energy supplies and finding whether or not supplies of material and equipment are critical and essential, as required by DPA section 101(c)(3). The critical and essential finding will be made only for supplies of materials and equipment related to those programs or projects determined by DOE to maximize domestic energy supplies. These regulations do not require or imply that the findings, on which the exercise of such authority is conditioned, will be made in any particular case.

(c) If DOE determines that a program or project maximizes domestic energy supplies and finds that supplies of materials and equipment are critical and essential to maintain or further the exploration, production, refining, transportation or conservation of energy supplies or for the construction and maintenance of energy facilities, such determination and finding will be communicated to the Department of Commerce. If not, the applicant will be so informed. If the determination and finding described above are made, the Department of Commerce, pursuant to DPA section 101(c), Executive Order 11912 and DMO No. 13, will find whether or not (1) the supplies of materials and equipment in question are scarce and (2) maintenance or furtherance of exploration, production, refining, transportation, or conservation of energy supplies or the construction and maintenance of energy facilities cannot be reasonably accomplished without exercising the authority specified in section 101(c). If these additional two findings are made, the Department of Commerce will notify DOE, and DOE will inform the applicant that it has been granted the right to use priority ratings under the Defense Priorities and Allocations System (“DPAS”) regulation established by the Department of Commerce, 15 CFR 350.

(b) Applicant means a person requesting priorities or allocation assistance in connection with an energy program or project.

(c) Application means the written request of an applicant for assistance.

(d) Assistance means use of the authority vested in the President by DPA section 101(c) to implement priorities and allocation support.

(e) DOC means the Department of Commerce, acting through the Secretary or the delegate of the Secretary.

(f) DOE means the Department of Energy, acting through the Secretary or the delegate of the Secretary.

(g) Eligible energy program or project means a designated activity which maximizes domestic energy supplies by furthering the domestic exploration, production, refining, transportation or conservation of energy supplies or construction and maintenance of energy facilities within the meaning of DPA section 101(c), as determined by DOE.

(j) Person means an individual, corporation, partnership, association, or any other organized group of persons (or legal successor or representative thereof), and includes the United States or any other government and any political subdivisions (or any agency) thereof.

(a) Persons who believe that they perform work associated with a program or project which may qualify as an eligible energy program or project and wishing to receive assistance as authorized by DPA section 101(c)(1) may submit an application to DOE requesting DOE to determine whether a program or project maximizes domestic energy supplies and to find whether or not specific supplies of materials or equipment identified in the application are critical and essential for a purpose identified in section 101(c). The application should be sent to: Department of Energy, Procurement and Assistance Management Directorate, Attn: MA-422, Forrestal Building, 1000 Independence Avenue SW., Washington, DC 20585. The application shall contain the following information:

(1) The name and address of the applicant and of its duly authorized representative.

(2) A description of the energy program or project for which assistance is requested and an assessment of its impact on the maximization of domestic energy supplies.

(3) The amount of energy to be produced by the program or project which is directly affected by the supplies of the materials or equipment in question.

(4) A statement explaining why the materials or equipment for which assistance is requested are critical and essential to the construction or operation of the energy project or program.

(5) A detailed description of the specific supplies of materials and equipment in connection with which assistance is requested, including: Components, performance data (capacity, life duration, etc.), standards, acceptable tolerances in dimensions and specifications, current inventory, present and expected rates of use, anticipated deliveries and substitution possibilities (feasibility of using other materials or equipment).

(6) A detailed description of the sources of supply, including: Name of the regular supplying company or companies, other companies capable of supplying the materials and equipment, location of supplying plants or plants capable of supplying the needed materials and equipment, possible suppliers for identical or substitutable materials and equipment and possible foreign sources of supply.

(7) A detailed description of the delivery stituation, including: Normal delivery times, promised delivery time without priorities assistance, and delivery time required for expeditious fulfillment or completion of the program or project.

(8) Evidence of the applicant's unsuccessful efforts to obtain on a timely basis the materials and equipment in question through normal business channels from current or other known suppliers.

(9) A detailed estimate of the delay in fulfilling or completing the energy program or project which will be caused by inability to obtain the specified materials and equipment in the usual course of business.

(10) Any known conflicts with rated or authorized controlled material orders already issued pursuant to the DPA for supplies of the described materials and equipment.

(11) Quarterly estimates of requirements for controlled materials, if applicable, by shapes and forms as prescribed by the DPAS regulation, § 350.31(e)(2).

(b) DOE, on consultation with the DOC, may prescribe standard forms of application or letters of instruction for use by all persons seeking assistance.

(c) In addition to the information described above, DOE may from time to time request whatever additional information it reasonably believes is relevant to the discharge of its functions pursuant to DPA section 101(c).

(a) Based on the information provided by the applicant and other available information, DOE will assess the application and (1) determine whether or not the energy program or project in connection with which the application is made maximizes domestic energy supplies and should be designated an eligible energy program or project and (2) find whether the described supplies of materials and equipment are critical and essential to the eligible energy program or project.

(b) In determining whether the program or project referred to in the application should be designated an eligible energy program or project, DOE will consider all factors which it considers relevant including, but not limited to, the following:

(1) Quantity of energy involved;

(2) Benefits of timely energy program furtherance or project completion;

(3) Socioeconomic impact;

(4) The need for the end product for which the materials and equipment are allegedly required; and

(5) Established national energy policies.

(c) In findings whether the supplies of materials or equipment described in the application are critical and essential to an eligible energy program or project, DOE will consider all factors which it considers relevant including, but not limited to, the following:

(1) Availability and utility of substitute materials or equipment; and

(2) Impact of the nonavailability of the specific supplies of materials and equipment on the furtherance or timely completion of the approved energy program or project.

(d) Increased costs which may be associated with obtaining materials or equipment without assistance shall not be considered a valid reason for finding the materials and equipment to be critical and essential.

(e) After DOE has determined a program or project to be an eligible energy program or project, this determination shall be deemed made with regard to subsequent applications involving the same program or project unless and until DOE announces otherwise.

§ 216.5Notification of findings.

(a) DOE will notify the DOC if it finds that supplies of materials and equipment, for which an applicant requested assistance, are critical and essential to an eligible energy program or project, and in such cases will forward to the DOC the application and whatever information or comments DOE believes appropriate. If DOE believes at any time that findings previously made may no longer be valid, it will immediately notify the DOC and the affected applicant(s) and afford such applicant(s) an opportunity to show cause why such findings should not be withdrawn.

(b) If DOC notifies DOE that DOC has found that supplies of materials and equipment, for which the applicant requested assistance, are scarce and that the related eligible energy program or project cannot reasonably be accomplished without exercising the authority specified in DPA section 101(c)(1), DOE will notify the applicant that the applicant is authorized to place rated orders and/or authorized controlled material orders for specific supplies of materials and equipment pursuant to the provisions of the DPAS Regulation, as promulgated by the Department of Commerce.

If DOE, after evaluating an application in accordance with § 216.4, does not determine that the energy program or project maximizes domestic energy supplies or does not find that the supplies of materials and equipment described in the application are critical and essential to an eligible energy program or project, it will so notify the applicant and the applicant may petition DOE for reconsideration. If DOE concludes at any time that findings previously made are no longer valid and should be withdrawn, DOE will so notify the affected applicant(s), and such applicant(s) may petition DOE for reconsideration of the withdrawal decision. Such a petition is deemed accepted when received by DOE at the address stated in § 216.8. DOE will consider the petition for reconsideration and either grant or deny the relief requested. Written notice of the decision and of the reasons for the decision will be provided to the applicant. There has not been an exhaustion of administrative remedies until a petition for reconsideration has been submitted and the review procedure completed by grant or denial of the relief requested. The denial of relief requested in a petition for reconsideration is a final administrative decision.

If it appears that the use of assistance pursuant to DPA section 101(c) creates or threatens to create a conflict with priorities and allocation support provided in connection with the national defense pursuant to DPA section 101(a), DOE will work with the DOC and other claimant agencies affected by such conflict in an attempt to reschedule deliveries or otherwise accommodate such competing demands. If acceptable solutions cannot be agreed upon by the claimant agencies the FEMA will resolve such conflicts.

Any person who willfully furnishes false information or conceals any material fact in the course of the application process or in a petition for reconsideration is guilty of a crime, and upon conviction may be punished by fine or imprisonment or both.

(a) This part implements section 251 of the Energy Policy and Conservation Act (Pub. L. 94-163) (42 U.S.C. 6271), as amended, which authorizes the President to take such action as he determines to be necessary for performance of the obligations of the United States under chapters III and IV of the Agreement on an International Energy Program (TIAS 8278), insofar as such obligations relate to the mandatory international allocation of oil by International Energy Program participating countries.

(b) Applicability. This part applies to any firm engaged in producing, transporting, refining, distributing or storing oil which is subject to the jurisdiction of the United States.

§ 218.2Activation/Deactivation.

(a) This rule shall take effect providing:

(1) The International Energy Program has been activated; and,

(2) The President has transmitted this rule to Congress, has found putting such rule into effect is required in order to fulfill obligations of the United States under the International Energy Program and has transmitted such a finding to the Congress together with a statement of the effective date and manner for exercise of such rule.

(b) This rule shall revert to standby status no later than 60 days after the deactivation of the emergency allocation system activated to implement the International Energy Program.

§ 218.3Definitions.

DOE means the Department of Energy established by the Department of Energy Organization Act (Pub. L. 95-91), and includes the Secretary of Energy or his delegate.

Firm means any association, company, corporation, estate, individual, joint-venture, partnership, or sole proprietorship or any other entity however organized including charitable, educational, or other eleemosynary institutions, and the Federal Government including corporations, departments, Federal agencies, and other instrumentalities, and State and local governments. The ERA may, in regulations and forms issued in this part, treat as a firm: (a) A parent and the consolidated and unconsolidated entities (if any) which it directly or indirectly controls, (b) a parent and its consolidated entities, (c) an unconsolidated entity, or (d) any part of a firm.

IEA means the International Energy Agency established to implement the IEP.

IEP means the International Energy Program established pursuant to the Agreement on an International Energy Program signed at Paris, France, on November 18, 1974, including (a) the Annex entitled “Emergency Reserves”, (b) any amendment to such Agreement that includes another nation as a Party to such Agreement, and (c) any technical or clerical amendment to such Agreement.

International energy supply emergency means any period (a) beginning on any date that the President determines allocation of petroleum products to nations participating in the IEP is required by chapters III and IV of the IEP and (b) ending on a date on which he determines such allocation is no longer required.

Oil means crude oil, residual fuel oil, unfinished oil, refined petroleum product and natural gas liquids, which is owned or controlled by a firm, including any petroleum product destined, directly or indirectly, for import into the United States or any foreign country, or produced in the United States but excludes any oil stored in or owned and controlled by the United States Government in connection with the Strategic Petroleum Reserve authorized in section 151, et seq., of the Energy Policy and Conservation Act (Pub. L. 94-163).

Supply order means a written directive or a verbal communication of a written directive, if promptly confirmed in writing, issued by the DOE pursuant to subpart B of this part.

United States when used in the geographic sense means the several States, the District of Columbia, Puerto Rico, and the territories and possessions of the United States, and the outer continental shelf as defined in 43 U.S.C. 1331.

Subpart B—Supply Orders§ 218.10Rule.

(a) Upon the determination by the President that an international energy supply emergency exists, firms engaged in producing, transporting, refining, distributing, or storing oil shall take such actions as are determined by the DOE to be necessary for implementation of the obligations of the United States under chapters III and IV of the IEP that relate to the mandatory international allocation of oil by IEP participating countries.

(b) Any actions required in accordance with paragraph (a) of this section shall be stated in supply orders issued by DOE.

(c) No firm to which a supply order is issued shall be required to comply with such order unless the firm to which the oil is to be provided in accordance with such supply order has agreed to a procedure for the resolution of any dispute related to the terms and conditions of the sale undertaken pursuant to the supply order. The means for resolving any such disputes may include any procedures that are mutally acceptable to the parties, including arbitration before the IEA if the IEA has established arbitration procedures, arbitration or adjudication before an appropriate body, or any other similar procedure.

§ 218.11Supply orders.

(a) A supply order shall require that the firm to which it is issued take actions specified therein relating to supplying the stated volume of oil to a specified recipient including, but not limited to, distributing, producing, storing, transporting or refining oil. A supply order shall include a concise statement of the pertinent facts and of the legal basis on which it is issued, and shall describe the action to be taken.

(b) The DOE shall serve a copy of the supply order on the firm directed to act as stated therein.

(c) The DOE may modify or rescind a supply order on its own motion or pursuant to an application filed in accordance with § 218.32 of this part.

(d) A supply order shall be effective in accordance with its terms, and when served upon a firm directed to act thereunder, except that a supply order shall not remain in effect (1) upon reversion of this rule to standby status or (2) twelve months after the rule has been transmitted to Congress (whichever occurs first) or (3) to the extent that DOE or a court of competent jurisdiction directs that it be stayed, modified, or rescinded.

(e) Any firm issued a supply order pursuant to this subpart may seek modification or rescission of the supply order in accordance with procedures provided in § 218.32 of this part.

§ 218.12Pricing.

The price for oil subject to a supply order issued pursuant to this subpart shall be based on the price conditions prevailing for comparable commercial transactions at the time the supply order is served.

Subpart C—[Reserved]Subpart D—Procedures§ 218.30Purpose and scope.

This subpart establishes the administrative procedures applicable to supply orders. They shall be exclusive of any other procedures contained in this chapter, unless such other procedures are specifically made applicable hereto by this subpart.

§ 218.31Incorporated procedures.

The following subparts of part 205 of this chapter are, as appropriate, hereby made applicable to this part:

(a) Subpart A— General Provisions; Provided, that § 205.11 shall not apply; and Provided further, that in addition to the methods of service specified in § 205.7 of this chapter, service shall be effective if a supply order is transmitted by telex, telecopies or other similar means of electronic transmission of a writing and received by the firm to which the supply order is addressed.

(b) Subpart F— Interpretation.

(c) Subpart K— Rulings.

(d) Subpart M— Conferences, Hearings and Public Hearings.

§ 218.32Review.

(a) Purpose and scope. This subpart establishes the procedures for the filing of an application for review of a supply order. An application for review is a summary proceeding which will be initiated only if the critieria described in paragraph (g)(2) of this section are satisfied.

(b) What to file. (1) A firm filing under this subpart shall file an “Application for Review” which should be clearly labeled as such both on the application and on the outside of the envelope in which the application is transmitted, and shall be in writing and signed by the firm filing the application. The applicant shall comply with the general filing requirements stated in 10 CFR 205.9 in addition to the requirements stated in this section.

(2) If the applicant wishes to claim confidential treatment for any information contained in the application or other documents submitted under this subpart, the procedures set out in 10 CFR 205.9(f) shall apply.

(c) When to file. An application for review should be filed no later than 5 days after the receipt by the applicant of the supply order that is the subject of the application, or no later than 2 days after the occurrence of an event that results in a substantial change in the facts or circumstances affecting the applicant.

(d) Where to file. The application for review shall be filed with DOE Office of Hearings and Appeals (OHA), 2000 M Street, NW., Washington, DC 20461.

(e) Notice. The applicant shall send by United States mail or deliver by hand a copy of the application and any subsequent amendments or other documents relating to the application to the Administrator of the Economic Regulatory Administration of DOE, 2000 M Street, NW., Washington, DC 20461. Service shall be made on the ERA at same time the document is filed with OHA and each document filed with the OHA shall include certification that the applicant has complied with the requirements of this paragraph.

(f) Contents. (1) The application shall contain a full and complete statement of all relevant facts pertaining to the application and to the DOE action sought. Such facts shall include a complete statement of the business or other reasons that justify review of the supply order and a full description of the pertinent provisions and relevant facts contained in any relevant documents. Copies of all contracts, agreements, leases, instruments, and other documents relevant to the application shall be submitted with the application. A copy of the order of which review is sought shall be included with the application. When the application pertains to only one step of a larger integrated transaction, the facts, circumstances, and other relevant information pertaining to the entire transaction shall be submitted.

(2) The application shall include a discussion of all relevant authorities, including, but not limited to, DOE and DOE rulings, regulations, interpretations and decisions on appeal and exception relied upon to support the action sought therein.

(g) DOE evaluation—(1) Processing. (i) The DOE may initiate an investigation of any statement in an application and utilize in its evaluation any relevant facts obtained by such investigation. The DOE may solicit and accept submissions from third parties relevant to any application for review provided that the applicant is afforded an opportunity to respond to all third party submissions. In evaluating an application for review, the DOE may convene a conference, on its own initiative, if, in its discretion, it considers that a conference will advance its evaluation of the application.

(ii) If the DOE determines that there is insufficient information upon which to base a decision and if upon request the necessary additional information is not submitted, the DOE may dismiss the application without prejudice. If the failure to supply additional information is repeated or willful, the DOE may dismiss the application with prejudice. If the applicant fails to provide the notice required by paragraph (e) of this section, the DOE may dismiss the application without prejudice.

(iii) An order dismissing an application for any of the reasons specified in paragraph (g)(1)(ii) of this section shall contain a statement of the grounds for the dismissal. The order shall become final within 5 days of its service upon the applicant, unless within such 5-day period the applicant files an amendment correcting the deficiencies identified in the order. Within 5 days of the filing of such amendment, the DOE shall notify the applicant whether the amendment corrects the specified deficiencies. If the amendment does not correct the deficiencies specified in the order, the order shall become a final order of the DOE of which the applicant may seek judicial review.

(2) An application for review of an order shall be processed only if the applicant demonstrates that—

(i) There is probable cause to believe that the supply order is erroneous, inequitable, or unduly burdensome; or

(ii) There has been discovered a law, regulation, interpretation, ruling, order or decision that was in effect at the time of the application which, if it had been made known to the DOE, would have been relevant to the supply order and would have substantially altered the supply order; or

(iii) There has been a substantial change in the facts or circumstances affecting the applicant, which change has occurred during the interval between issuance of the supply order and the date of the application and was caused by forces or circumstances beyond the control of the applicant.

(h) Decision. (1) Upon consideration of the application and other relevant information received or obtained during the proceeding, the DOE shall issue an order granting or denying the modification or rescission of the supply order requested in the application for review.

(2) The DOE shall process applications for review as expeditiously as possible. When administratively feasible, the DOE shall issue an order granting or denying the application within 20 business days after receipt of the application.

(3) The order shall include a written statement setting forth the relevant facts and the legal basis of the order. The order shall state that it is a final order of which the applicant may seek judicial review.

(4) The DOE shall serve a copy of the order upon the applicant and any other party who participated in the proceeding.

§ 218.33Stay.

(a) The DOE may issue an order granting a stay if the DOE determines that an applicant has made a compelling showing that it would incur serious and irreparable injury unless immediate stay relief is granted pending determination of an application for review pursuant to this subpart. An application for a stay shall be labeled as such on the application and on the outside of the envelope in which the application is transmitted, and shall be in writing and signed by the firm filing the application. It shall include a description of the proceeding incident to which the stay is being sought and of the facts and circumstances which support the applicant's claim that it will incur irreparable injury unless immediate stay relief is granted. The applicant shall comply with the general filing requirements stated in 10 CFR 205.9 in addition to the requirements stated in this section. The DOE on its own initiative may also issue an order granting a stay upon a finding that a firm will incur irreparable injury if such an order is not granted.

(b) An order granting a stay shall expire by its terms within such time after issuance, not to exceed 30 days as the DOE specifies in the order, except that it shall expire automatically 5 days following its issuance if the applicant fails within that period to file an application for review unless within that period the DOE for good cause shown, extends the time during which the applicant may file an application for review.

(c) The order granting or denying a stay is not an order of the DOE subject to administrative review.

(a) The DOE may initiate and conduct investigations relating to the scope, nature and extent of compliance by any person with the rules, regulations or statutes of the DOE or any order promulgated by the DOE under the authority of section 251 of EPCA, or any court decree.

(b) Any duly designated and authorized representative of DOE has the authority to conduct an investigation and to take such action as he deems necessary and appropriate to the conduct of the investigation including any action pursuant to § 205.8.

(c) There are no parties, as that term is used in adjudicative proceedings, in an investigation under this subpart, and no person may intervene or participate as a matter of right in any investigation under this subpart.

(d) Any person may request the DOE to initiate an investigation pursuant to paragraph (a) of this section. A request for an investigation shall set forth the subject matter to be investigated as fully as possible and include supporting documentation and information. No particular forms or procedures are required.

(e) Any person who is requested to furnish documentary evidence or testimony in an investigation, upon written request, shall be informed of the general purpose of the investigation.

(f) DOE shall not disclose information or documents that are obtained during any investigation unless (1) DOE directs or authorizes the public disclosure of the investigation; (2) the information or documents are a matter of public record; or (3) disclosure is not precluded by the Freedom of Information Act, 5 U.S.C. 552 and 10 CFR part 1004.

(g) During the course of an investigation any person may submit at any time any document, statement of facts or memorandum of law for the purpose of explaining the person's position or furnish evidence which the person considers relevant to a matter under investigation.

(h) If facts disclosed by an investigation indicate that further action is unnecessary or unwarranted, the investigative file may be closed without prejudice to further investigation by the DOE at any time that circumstances so warrant.

§ 218.41Violations.

Any practice that circumvents, contravenes or results in the circumvention or contravention of the requirements of any provision of this part 218 or any order issued pursuant thereto is a violation of the DOE regulations stated in this part and is unlawful.

§ 218.42Sanctions.

(a) General. Any person who violates any provisions of this part 218 or any order issued pursuant thereto shall be subject to penalties and sanctions as provided herein.

(1) The provisions herein for penalties and sanctions shall be deemed cumulative and not mutually exclusive.

(2) Each day that a violation of the provisions of this part 218 or any order issued pursuant thereto continues shall be deemed to constitute a separate violation within the meaning of the provisions of this part relating to fines and civil penalties.

(b) Penalties. (1) Any person who violates any provision of part 218 of this chapter or any order issued pursuant thereto shall be subject to a civil penalty of not more than $5,000 for each violation.

(2) Any person who willfully violates any provision of this part 218 or any order issued pursuant thereto shall be subject to a fine of not more than $10,000 for each violation.

(3) Any person who knowingly and willfully violates any provision of this part 218 or any order issued pursuant thereto with respect to the sale, offer of sale, or distribution in commerce of oil after having been subject to a civil penalty under paragraph (b) (1) or (2) of this section for a prior violation of the provisions of this part 218 or any order issued pursuant thereto with respect to the sale, offer of sale, or distribution in commerce of oil shall be subject to a fine of not more than $50,000 or imprisonment for not more than six months, or both, for each violation.

(4) Actions for penalties under this section are prosecuted by the Department of Justice upon referral by the DOE.

(5) When the DOE considers it to be appropriate or advisable, the DOE may compromise and settle any action under this paragraph, and collect civil penalties.

(c) Other Penalties. Willful concealment of material facts, or making of false, fictitious or fraudulent statements or representations, or submission of a document containing false, fictitious or fraudulent statements pertaining to matters within the scope of this part 218 by any person shall subject such persons to the criminal penalties provided in 18 U.S.C. 1001 (1970).

§ 218.43Injunctions.

Whenever it appears to the DOE that any firm has engaged, is engaging, or is about to engage in any act or practice constituting a violation of any regulation or order issued under this part 218, the DOE may request the Attorney General to bring a civil action in the appropriate district court of the United States to enjoin such acts or practices and, upon a proper showing, a temporary restraining order or a preliminary or permanent injunction shall be granted without bond. The relief sought may include a mandatory injunction commanding any firm to comply with any provision of such order or regulation, the violation of which is prohibited by section 524 of the EPCA.

PART 220—[RESERVED]PART 221—PRIORITY SUPPLY OF CRUDE OIL AND PETROLEUM PRODUCTS TO THE DEPARTMENT OF DEFENSE UNDER THE DEFENSE PRODUCTION ACTSubpart A—GeneralSec.221.1Scope.221.2Applicability.Subpart B—Exclusions221.11Natural gas and ethane.Subpart C—Definitions221.21Definitions.Subpart D—Administrative Procedures and Sanctions221.31Requests by DOD.221.32Evaluation of DOD request.221.33Order.221.34Effect of order.221.35Contractual requirements.221.36Records and reports.221.37Violations and sanctions.Authority:

This part sets forth the procedures to be utilized by the Economic Regulatory Administration of the Department of Energy and the Department of Defense whenever the priority supply of crude oil and petroleum products is necessary or appropriate to meet national defense needs. The procedures available in this part are intended to supplement but not to supplant other regulations of the ERA regarding the allocation of crude oil, residual fuel oil and refined petroleum products.

§ 221.2Applicability.

This part applies to the mandatory supply of crude oil, refined petroleum products (including liquefied petroleum gases) and lubricants to the Department of Defense for its own use or for purchases made by the Department of Defense on behalf of other Federal Government agencies.

Subpart B—Exclusions§ 221.11Natural gas and ethane.

The supply of natural gas and ethane are excluded from this part.

Subpart C—Definitions§ 221.21Definitions.

For purposes of this part—

Directive means an official action taken by ERA which requires a named person to take an action in accordance with its provisions.

DOD means the Department of Defense, including Military Departments and Defense Agencies, acting through either the Secretary of Defense or the designee of the Secretary.

ERA means the Economic Regulatory Administration of the Department of Energy.

National defense means programs for military and atomic energy production or construction, military assistance to any foreign nation, stockpiling and space, or activities directly related to any of the above.

Person means any individual, corporation, partnership, association or any other organized group of persons, and includes any agency of the United States Government or any other government.

Priority-rated supply order means any delivery order for crude oil or petroleum products issued by DOD bearing a priority rating issued by ERA under this part.

Supplier means any person other than the DOD which supplies, sells, transfers, or otherwise furnishes (as by consignment) crude oil or petroleum product to any other person.

(a) When DOD finds that (1) a fuel supply shortage for DOD exists or is anticipated which would have a substantial negative impact on the national defense, and (2) the defense activity for which fuel is required cannot be postponed until after the fuel supply shortage is likely to terminate, DOD may submit a written request to ERA for the issuance to it of a priority rating for the supply of crude oil and petroleum products.

(b) Not later than the transmittal date of its request to ERA, DOD shall notify the Federal Emergency Management Agency that it has requested a priority rating from ERA.

(c) Requests from DOD shall set forth the following:

(1) The quantity and quality of crude oil or petroleum products determined by DOD to be required to meet national defense requirements;

(2) The required delivery dates;

(3) The defense-related activity and the supply location for which the crude oil or petroleum product is to be delivered;

(4) The current or most recent suppliers of the crude oil or petroleum product and the reasons, if known, why the suppliers will not supply the requested crude oil or petroleum product;

(5) The degree to which it is feasible for DOD to use an alternate product in lieu of that requested and, if such an alternative product can be used, the efforts which have been made to obtain the alternate product;

(6) The period during which the shortage of crude oil or petroleum products is expected to exist;

(7) The proposed supply source for the additional crude oil or petroleum products required, which shall, if practicable, be the historical supplier of such crude oil or product to DOD; and

(8) Certification that DOD has made each of the findings required by paragraph (a) of this section.

§ 221.32Evaluation of DOD request.

(a) Upon receipt of a request from DOD for a priority rating as provided in § 221.31, it shall be reviewed promptly by ERA. The ERA will assess the request in terms of:

(1) The information provided under § 221.31;

(2) Whether DOD's national defense needs for crude oil or petroleum products can reasonably be satisfied without exercising the authority specified in this part;

(3) The capability of the proposed supplier to supply the crude oil or petroleum product in the amounts required;

(4) The known capabilities of alternative suppliers;

(5) The feasibility to DOD of converting to and using a product other than that requested; and

(6) Any other relevant information.

(b) The ERA promptly shall notify the proposed supplier of DOD's request for a priority rating specified under this part. The proposed supplier shall have a period specified in the notice, not to exceed fifteen (15) days from the date it is notified of DOD's request, to show cause in writing why it cannot supply the requested quantity and quality of crude oil or petroleum products. ERA shall consider this information in determining whether to issue the priority rating.

(c) If acceptance by a supplier of a rated order would create a conflict with another rated order of the supplier, it shall include all pertinent information regarding such conflict in its response to the show cause order provided for in subsection (b), and ERA, in consultation with DOD and the Federal Emergency Management Agency shall determine the priorities for meeting all such requirements.

(d) ERA may waive some or all of the requirements of § 221.31 or this section where the Secretary of Defense or his designee certifies, and has so notified the Federal Emergency Management Agency, that a fuel shortage for DOD exists or is imminent and that compliance with such requirements would have a substantial negative impact on the national defense.

§ 221.33Order.

(a) Issuance. If ERA determines that issuance of a priority rating for a crude oil or refined petroleum product is necessary to provide the crude oil or petroleum products needed to meet the national defense requirement established by DOD, it shall issue such a rating to DOD for delivery of specified qualities and quantities of the crude oil or refined petroleum products on or during specified delivery dates or periods. In accordance with the terms of the order, DOD may then place such priority rating on a supply order.

(b) Compliance. Each person who receives a priority-rated supply order pursuant to this part shall supply the specified crude oil or petroleum products to DOD in accordance with the terms of that order.

(c) ERA directives. Notwithstanding any other provisions of this part, where necessary or appropriate to promote the national defense ERA is authorized to issue a directive to a supplier of crude oil or petroleum product requiring delivery of specified qualities and quantities of such crude oil or petroleum products to DOD at or during specified delivery dates or periods.

(d) Use of ratings by suppliers. No supplier who receives a priority-rated supply order or directive issued under the authority of this section may use such priority order or directive in order to obtain materials necessary to meet its supply obligations thereunder.

§ 221.34Effect of order.

Defense against claims for damages. No person shall be liable for damages or penalties for any act or failure to act resulting directly or indirectly from compliance with any ERA authorized priority-rated supply order or ERA directive issued pursuant to this part, notwithstanding that such priority-rated supply order or directive thereafter be declared by judicial or other competent authority to be invalid.

§ 221.35Contractual requirements.

(a) No supplier may discriminate against an order or contract on which a priority rating has been placed under this part by charging higher prices, by imposing terms and conditions for such orders or contracts different from other generally comparable orders or contracts, or by any other means.

(b) Contracts with priority ratings shall be subject to all applicable laws and regulations which govern the making of such contracts, including those specified in 10 CFR 211.26(e).

§ 221.36Records and reports.

(a) Each person receiving an order or directive under this part shall keep for at least two years from the date of full compliance with such order or directive accurate and complete records of crude oil and petroleum product deliveries made in accordance with such order or directive.

(b) All records required to be maintained shall be made available upon request for inspection and audit by duly authorized representatives of the ERA.

(Approved by the Office of Management and Budget under control number 1903-0073)[45 FR 76433, Nov. 19, 1980, as amended at 46 FR 63209, Dec. 31, 1981]§ 221.37Violations and sanctions.

(a) Any practice that circumvents or contravenes the requirements of this part or any order or directive issued under this part is a violation of the regulations provided in this part.

(b) Criminal penalties. Any person who willfully performs any act prohibited, or willfully fails to perform any act required by this part or any order or directive issued under this part shall be subject to a fine of not more than $10,000 for each violation or imprisoned for not more than one year for each violation, or both.

(c) Whenever in the judgment of the Administrator of ERA any person has engaged or is about to engage in any acts or practices which constitute or will constitute a violation of any provision of these regulations, the Administrator may make application to the appropriate court for an order enjoining such acts or practices, or for an order enforcing compliance with such provision.

10 CFR Ch. II (1-1-97 Edition)Department of EnergySUBCHAPTERS B—C [RESERVED]SUBCHAPTER D—ENERGY CONSERVATIONPARTS 400-417—[RESERVED]PART 420—STATE ENERGY PROGRAMSubpart A—General Provisions for State Energy Program Financial AssistanceSec.420.1Purpose and scope.420.2Definitions.420.3Administration of financial assistance.420.4Technical assistance.420.5Reports.420.6Reference standards.Subpart B—Formula Grant Procedures420.10Purpose.420.11Allocation of funds among the States.420.12State matching contribution.420.13Annual State applications and State plans.420.14Review and approval of annual State applications and State plans.420.15Minimum criteria for required program activities for plans.420.16Extensions for compliance with required program activities.420.17Optional elements of State Energy Program plans.420.18Expenditure prohibitions and limitations.420.19Administrative review.Subpart C—Implementation of Special Projects Financial Assistance420.30Purpose and scope.420.31Notice of availability.420.32Program guidance/solicitation.420.33Application requirements.420.34Matching contributions or cost-sharing.420.35Application evaluation.420.36Evaluation criteria.420.37Selection.Authority:

Subpart A—General Provisions for State Energy Program Financial Assistance§ 420.1Purpose and scope.

It is the purpose of this part to promote the conservation of energy, to reduce the rate of growth of energy demand, and to reduce dependence on imported oil through the development and implementation of a comprehensive State Energy Program and the provision of Federal financial and technical assistance to States in support of such program.

§ 420.2Definitions.

As used in this part:

Act means title III, part D, as amended, of the Energy Policy and Conservation Act, 42 U.S.C. 6321 et seq.

ASHRAE/IESNA 90.1-1989, as amended means the building design standard published in December 1989 by the American Society of Heating, Refrigerating and Air-Conditioning Engineers, and the Illuminating Engineering Society of North America titled “Energy Efficient Design of New Buildings Except Low-Rise Residential Buildings,” with Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; and Addenda 90.1i-1993, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6(b).

Assistant Secretary means the Assistant Secretary for Energy Efficiency and Renewable Energy or any official to whom the Assistant Secretary's functions may be redelegated by the Secretary.

British thermal unit (Btu) means the quantity of heat necessary to raise the temperature of one pound of water one degree Fahrenheit at 39.2 degrees Fahrenheit and at one atmosphere of pressure.

Building means any structure which includes provision for a heating or cooling system, or both, or for a hot water system, except for the following:

(1) Any building whose peak design rate of energy usage for all purposes is less than one watt (3.4 Btu's per hour) per square foot of floor area for all purposes;

(2) Any building with neither a heating nor cooling system;

(3) Any mobile home; or

(4) Any building owned or leased in whole or in part by the United States.

Carpool means the sharing of a ride by two or more people in an automobile.

Carpool matching and promotion campaign means a campaign to coordinate riders with drivers to form carpools and/or vanpools.

Commercial building means any building other than a residential building, including any building constructed for industrial or public purposes.

Commercially available means available for purchase by the general public or target audience in the State.

Deputy Assistant Secretary means the Deputy Assistant Secretary for Building Technology, State and Community Programs or any official to whom the Deputy Assistant Secretary's functions may be redelegated by the Assistant Secretary.

Director, Office of State and Community Programs means the official responsible for DOE's formula grant programs to States, or any official to whom the Director's functions may be redelegated by the Assistant Secretary.

DOE means the Department of Energy.

Energy audit means a determination of the energy consumption characteristics of a building which:

(1) Identifies the type, size, energy use level and the major energy using systems of such building or buildings;

(3) Indicates the need and the estimated cost and energy cost savings, if any, associated with the acquisition and installation of energy conservation measures.

Energy conservation measure means an installation which modifies any building, building system, energy consuming device associated with the building or industrial facility the construction of which was completed prior to May 1, 1989, if such measure has been determined by means of an energy audit to be likely to maintain or improve the efficiency of energy use and to reduce energy costs in an amount sufficient to enable a person to recover the total cost of purchasing and installing such measure within the lesser of—

(1) The useful life of the modification involved; or

(2) 15 years after the purchase and installation of such measure.

Environmental residual means any pollutant or pollution causing factor which results from any activity.

Exterior envelope physical characteristics means the physical nature of those elements of a building which enclose conditioned spaces through which thermal energy may be transferred to or from the exterior.

Governor means the chief executive officer of a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States, or a person duly designated in writing by the Governor to act upon his or her behalf.

Grantee means the State or other entity named in the notice of grant award as the recipient.

HVAC means heating, ventilating and air-conditioning.

IBR means incorporation by reference.

Industrial facility means any fixed equipment or facility which is used in connection with, or as part of, any process or system for industrial production or output.

Institution of higher education has the same meaning as such term is defined in section 1201(a) of the Higher Education Act of 1965 (20 U.S.C. 1141(a)).

Metropolitan Planning Organization means that organization required by the Department of Transportation, and designated by the Governor as being responsible for coordination within the State, to carry out transportation planning provisions in a Standard Metropolitan Statistical Area.

Model Energy Code, 1993, including Errata, means the model building code published by the Council of American Building Officials, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6(b).

Park-and-ride lot means a parking facility generally located at or near the trip origin of carpools, vanpools and/or mass transit.

Petroleum violation escrow funds. For purposes both of exempting petroleum violation escrow funds from the matching requirements of § 420.12 and of applying the limitations specified under § 420.18(b), this term means any funds distributed to the States by the Department of Energy or any court and identified as Alleged Crude Oil Violation funds, together with any interest earned thereon by the States, but excludes any funds designated as “excess funds” under section 3003(d) of the Petroleum Overcharge Distribution and Restitution Act, subtitle A of title III of the Omnibus Budget Reconciliation Act of 1986, Public Law 99-509, and the funds distributed under the “Warner Amendment,” section 155 of Public Law 97-377.

Plan means a State Energy Program plan including required program activities in accordance with § 420.15 and otherwise meeting the applicable provisions of this part.

Political subdivision means a unit of government within a State, including a county, municipality, city, town, township, parish, village, local public authority, school district, special district, council of governments, or any other regional or intrastate governmental entity or instrumentality of a local government exclusive of institutions of higher learning and hospitals.

Preferential traffic control means any one of a variety of traffic control techniques used to give carpools, vanpools and public transportation vehicles priority treatment over single occupant vehicles other than bicycles and other two-wheeled motorized vehicles.

Program activity means one or more State actions, in a particular area, designed to promote energy efficiency, renewable energy and alternative transportation fuel.

Public building means any building which is open to the public during normal business hours, including:

(1) Any building which provides facilities or shelter for public assembly, or which is used for educational office or institutional purposes;

(3) Any general office space and any portion of an industrial facility used primarily as office space;

(4) Any building owned by a State or political subdivision thereof, including libraries, museums, schools, hospitals, auditoriums, sport arenas, and university buildings; and

(5) Any public or private non-profit school or hospital.

Public transportation means any scheduled or nonscheduled transportation service for public use.

Regional Support Office Director means the director of a DOE Regional Support Office with responsibility for grants administration or any official to whom that function may be redelegated.

Renewable energy means a non-depletable source of energy.

Renewable energy measure means a measure which modifies any building or industrial facility if such measure has been determined by means of an energy audit to—

(1) Involve changing, in whole or in part, the fuel or source of the energy used to meet the requirements of such building or facility from a depletable source of energy to a non-depletable source of energy; and

(2) Be likely to reduce energy costs (as calculated on the basis of energy cost assumptions provided by DOE) in an amount sufficient to enable a person to recover the total cost of purchasing and installing such measure (without regard to any tax benefit or Federal financial assistance applicable thereto) within the lesser of—

(i) The useful life of the modification involved; or

(ii) 25 years after the purchase and installation of such measure.

Residential building means any building which is constructed for residential occupancy.

Secretary mean the Secretary of DOE.

SEP means the State Energy Program under this part.

Small business means a private firm that does not exceed the numerical size standard promulgated by the Small Business Administration under section 3(a) of the Small Business Act (15 U.S.C. 632) for the Standard Industrial Classification (SIC) codes designated by the Secretary of Energy.

Start-up business means a small business which has been in existence for 5 years or less.

State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.

State or local government building means any building owned and primarily occupied by offices or agencies of a State; and any building of a unit of local government or a public care institution which could be covered by part H, title III, of the Energy Policy and Conservation Act, 42 U.S.C. 6372-6372i.

Transit level of service means characteristics of transit service provided which indicate its quantity, geographic area of coverage, frequency and quality (comfort, travel, time, fare and image).

Urban area traffic restriction means a setting aside of certain portions of an urban area as restricted zones where varying degrees of limitation are placed on general traffic usage and/or parking.

Vanpool means a group of riders using a vehicle, with a seating capacity of not less than eight individuals and not more than fifteen individuals, for transportation to and from their residence or other designated locations and their place of employment, provided the vehicle is driven by one of the pool members.

Variable working schedule means a flexible working schedule to facilitate carpool, vanpool and/or public transportation usage.

§ 420.3Administration of financial assistance.

(a) Financial assistance under this part shall comply with applicable laws and regulations including, but without limitation, the requirements of:

(1) Executive Order 12372, Intergovernmental Review of Federal Programs, as implemented by 10 CFR part 1005.

(2) DOE Financial Assistance Rules (10 CFR part 600); and

(3) Other procedures which DOE may from time to time prescribe for the administration of financial assistance under this part.

(b) The budget period(s) covered by the financial assistance provided to a State according to § 420.11(b) or § 420.33 shall be consistent with 10 CFR part 600.

(c) Subawards are authorized under this part and are subject to the requirements of this part and 10 CFR part 600.

§ 420.4Technical assistance.

At the request of the Governor of any State to DOE and subject to the availability of personnel and funds, DOE will provide information and technical assistance to the State in connection with effectuating the purposes of this part.

§ 420.5Reports.

(a) Each State receiving financial assistance under this part shall submit to the cognizant Regional Support Office Director a quarterly program performance report and a quarterly financial status report.

(b) Reports under this section shall contain such information as the Secretary may prescribe in order to monitor effectively the implementation of a State's activities under this part.

(c) The reports shall be submitted within 30 days following the end of each calendar year quarter.

§ 420.6Reference standards.

(a) The following standards which are not otherwise set forth in this part are incorporated by reference and made a part of this part. The following standards have been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. A notice of any change in these materials will be published in the Federal Register. The standards incorporated by reference are available for inspection at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.

(b) The following standards are incorporated by reference in this part:

This subpart specifies the procedures that apply to the Formula Grant part of the State Energy Program, which allows States to apply for financial assistance to undertake a wide range of required and optional energy-related activities provided for under § 420.15 and § 420.17. Funding for these activities is allocated to the States based on funds available for any fiscal year, as described under § 420.11.

§ 420.11Allocation of funds among the States.

(a) The cognizant Regional Support Office Director shall provide financial assistance to each State having an approved annual application from funds available for any fiscal year to develop, modify, or implement a plan.

(b) DOE shall allocate financial assistance to develop, implement or modify plans among the States from funds available for any fiscal year, as follows:

(1) If the available funds equal $25.5 million, such funds shall be allocated to the States according to Table 1 of this section.

(3) If the available funds for any fiscal year are less than $25.5 million, then the base allocation for each State shall be reduced proportionally.

(4) If the available funds exceed $25.5 million, $25.5 million shall be allocated as specified in Table 1 and any in excess of $25.5 million shall be allocated as follows:

(i) One-third of the available funds is divided among the States equally;

(ii) One-third of the available funds is divided on the basis of the population of the participating States as contained in the most recent reliable census data available from the Bureau of the Census, Department of Commerce, for all participating States at the time DOE needs to compute State formula shares; and

(iii) One-third of the available funds is divided on the basis of the energy consumption of the participating States as contained in the most recent State Energy Data Report available from DOE's Energy Information Administration.

(c) The budget period covered by the financial assistance provided to a State according to § 420.11(b) shall be consistent with 10 CFR part 600.

§ 420.12State matching contribution.

(a) Each State shall provide cash, in kind contributions, or both for SEP activities in an amount totalling not less than 20 percent of the financial assistance allocated to the State under § 420.11(b).

(b) Cash and in-kind contributions used to meet this State matching requirement are subject to the limitations on expenditures described in § 420.18(a), but are not subject to the 20 percent limitation in § 420.18(b).

(c) Nothing in this section shall be read to require a match for petroleum violation escrow funds used under this part.

§ 420.13Annual State applications and State plans.

(a) To be eligible for financial assistance under subpart B of this part, a State shall submit to the cognizant Regional Support Office Director an original and two copies of the annual application executed by the Governor. The date for submission of the annual State application shall be set by DOE.

(2) A description of the energy efficiency, renewable energy, and alternative transportation fuel goals to be achieved, including wherever practicable:

(i) An estimate of the energy to be saved by implementation of the State plan;

(ii) Why the goals were selected;

(iii) How the attainment of the goals will be measured by the State; and

(iv) How the program activities included in the State plan represent a strategy to achieve these goals;

(3) With respect to financial assistance under subpart B of this part, a goal, consisting of an improvement of 10 percent or more in the efficiency of use of energy in the State concerned in the calendar year 2000, as compared to the calendar year 1990, and may contain interim goals;

(4) For the budget period for which financial assistance will be provided:

(i) A total program budget with supporting justification, broken out by object category and by source of funding;

(ii) The source and amount of State matching contribution;

(iii) A narrative statement detailing the nature of amendments and of new program activities;

(iv) For each program activity, a budget and listing of milestones; and

(v) An explanation of how the minimum criteria for required program activities prescribed in § 420.15 shall be satisfied;

(5) A detailed description of the increase or decrease in environmental residuals expected from implementation of a plan defined insofar as possible through the use of information to be provided by DOE and an indication of how these environmental factors were considered in the selection of program activities.

(6) For program activities involving purchase or installation of materials or equipment for weatherization of low-income housing, an explanation of how these activities would supplement and not supplant the existing DOE program under 10 CFR part 440.

(7) A reasonable assurance to DOE that it has established policies and procedures designed to assure that Federal financial assistance under subpart B of this part will be used to supplement, and not to supplant, State and local funds, and to the extent practicable, to increase the amount of such funds that otherwise would be available, in the absence of such Federal financial assistance, for those activities set forth in the State Energy Program plan approved pursuant to this part;

(8) An assurance that the State shall comply with all applicable statutes and regulations in effect with respect to the periods for which it receives grant funding; and

(9) For informational purposes only, and not subject to DOE review, an energy emergency plan for an energy supply disruption, as designed by the State consistent with applicable Federal and State law including an implementation strategy or strategies (including regional coordination) for dealing with energy emergencies.

(c) The Governor may request an extension of the annual submission date by submitting a written request to the cognizant Regional Support Office Director not less than 15 days prior to the annual submission date. The extension shall be granted only if, in the cognizant Regional Support Office Director's judgment, acceptable and substantial justification is shown, and the extension would further objectives of the Act.

§ 420.14Review and approval of annual State applications and State plans.

(a) After receipt of an application for financial assistance under subpart B of this part, or application for approval of an amendment to a State plan, the cognizant Regional Support Office Director may request the State to submit within a reasonable period of time any revisions necessary to make the application complete and to bring the application into compliance with the requirements of this part. The cognizant Regional Support Office Director shall attempt to resolve any dispute over the application informally and to seek voluntary compliance. If a State fails to submit timely appropriate revisions to complete an application and/or bring it into compliance, the cognizant Regional Support Office Director may reject the application in a written decision, including a statement of reasons, which shall be subject to administrative review under § 420.19 of this part.

(b) On or before 60 days from the date that a timely filed application is complete, the cognizant Regional Support Office Director shall—

(1) Approve the application in whole or in part to the extent that—

(i) The application conforms to the requirements of this part;

(ii) The proposed program activities are consistent with a State's achievement of its energy conservation goals in accordance with § 420.13; and

(iii) The provisions of the application regarding program activities satisfy the minimum requirements prescribed by § 420.15 and § 420.17 as applicable;

(2) Approve the application in whole or in part subject to special conditions designed to ensure compliance with the requirements of this part; or

(3) Disapprove the application if it does not conform to the requirements of this part.

§ 420.15Minimum criteria for required program activities for plans.

A plan shall satisfy all of the following minimum criteria for required program activities.

(1) Be implemented throughout the State, except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's constitution reserves the exclusive authority to adopt and implement building standards within their jurisdictions;

(2) Apply to all public buildings above a certain size, as determined by the State;

(3) For new public buildings, be no less stringent than the provisions of ASHRAE/IESNA 90.1-1989, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to provisions of ASHRAE/IESNA 90.1-1989 which is incorporated by reference in accordance with 5 U.S.C. 552 (a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6; and

(4) For existing public buildings, contain the elements deemed appropriate by the State.

(b) Program activities to promote the availability and use of carpools, vanpools, and public transportation shall:

(1) Have at least one of the following actions under implementation in at least one urbanized area with a population of 50,000 or more within the State or in the largest urbanized area within the State if that State does not have an urbanized area with a population of 50,000 or more:

(i) A carpool/vanpool matching and promotion campaign;

(ii) Park-and-ride lots;

(iii) Preferential traffic control for carpoolers and public transportation patrons;

(iv) Preferential parking for carpools and vanpools;

(v) Variable working schedules;

(vi) Improvement in transit level of service for public transportation;

(vii) Exemption of carpools and vanpools from regulated carrier status;

(ix) Full-cost parking fees for State and/or local government employees;

(x) Urban area traffic restrictions;

(xi) Geographical or time restrictions on automobile use; or

(xii) Area or facility tolls; and

(2) Be coordinated with the relevant Metropolitan Planning Organization, unless no Metropolitan Planning Organization exists in the urbanized area, and not be inconsistent with any applicable Federal requirements.

(c) Mandatory standards and policies affecting the procurement practices of the State and its political subdivisions to improve energy efficiency shall—

(1) With respect to all State procurement and with respect to procurement of political subdivisions to the extent determined feasible by the State, be under implementation; and

(2) Contain the elements deemed appropriate by the State to improve energy efficiency through the procurement practices of the State and its political subdivisions.

(1) Be implemented throughout the State, with respect to all buildings other than exempted buildings, except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's constitution reserves the exclusive authority to adopt and implement building standards within their jurisdictions;

(2) Take into account the exterior envelope physical characteristics, HVAC system selection and configuration, HVAC equipment performance and service water heating design and equipment selection;

(3) For all new commercial and multifamily high-rise buildings, be no less stringent than provisions of sections 7-12 of ASHRAE/IESNA 90.1-1989, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to provisions of ASHRAE/IESNA 90.1-1989; and

(4) For all new single-family and multifamily low-rise residential buildings, be no less stringent than the Model Energy Code, 1993, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to the Model Energy Code, 1993, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6;

(5) For renovated buildings:

(i) Apply to those buildings determined by the State to be renovated buildings; and

(ii) Contain the elements deemed appropriate by the State regarding thermal efficiency standards for renovated buildings.

(e) A traffic law or regulation which permits the operator of a motor vehicle to make a turn at a red light after stopping shall:

(1) Be in a State's motor vehicle code and under implementation throughout all political subdivisions of the State;

(2) Permit the operator of a motor vehicle to make a right turn (left turn with respect to the Virgin Islands) at a red traffic light after stopping except where specifically prohibited by a traffic sign for reasons of safety or except where generally prohibited in an urban enclave for reasons of safety; and

(3) Permit the operator of a motor vehicle to make a left turn from a one-way street to a one-way street (right turn with respect to the Virgin Islands) at a red traffic light after stopping except where specifically prohibited by a traffic sign for reasons of safety or except where generally prohibited in an urban enclave for reasons of safety.

(f) Procedures must exist for ensuring effective coordination among various local, State, and Federal energy efficiency, renewable energy and alternative transportation fuel programs within the State, including any program administered within the Office of Building Technology, State and Community Programs of the Department of Energy and the Low Income Home Energy Assistance Program administered by the Department of Health and Human Services.

§ 420.16Extensions for compliance with required program activities.

An extension of time by which a required program activity must be ready for implementation may be granted if DOE determines that the extension is justified. A written request for an extension, with accompanying justification and an action plan acceptable to DOE for achieving compliance in the shortest reasonable time, shall be made to the cognizant Regional Support Office Director. Any extension shall be only for the shortest reasonable time that DOE determines necessary to achieve compliance. The action plan shall contain a schedule for full compliance and shall identify and make the most reasonable commitment possible to provision of the resources necessary for achieving the scheduled compliance.

§ 420.17Optional elements of State Energy Program plans.

(a) Other appropriate activities or programs may be included in the State plan. These activities may include, but are not limited to, the following:

(1) Program activities of public education to promote energy efficiency, renewable energy, and alternative transportation fuels;

(2) Program activities to increase transportation energy efficiency, including programs to accelerate the use of alternative transportation fuels for government vehicles, fleet vehicles, taxis, mass transit, and privately owned vehicles;

(i) Which may include loan programs and performance contracting programs for leveraging of additional public and private sector funds and program activities which allow rebates, grants, or other incentives for the purchase of energy conservation measures and renewable energy measures; or

(ii) In addition to or in lieu of program activities described in paragraph (a)(3)(i) of this section, which may be used in connection with public or nonprofit buildings owned and operated by a State, a political subdivision of a State or an agency or instrumentality of a State, or an organization exempt from taxation under section 501(c)(3) of the Internal Revenue Code of 1986 including public and private non-profit schools and hospitals, and local government buildings;

(4) Program activities for encouraging and for carrying out energy audits with respect to buildings and industrial facilities (including industrial processes) within the State;

(5) Program activities to promote the adoption of integrated energy plans which provide for:

(6) Program activities to promote energy efficiency in residential housing, such as:

(i) Program activities for development and promotion of energy efficiency rating systems for newly constructed housing and existing housing so that consumers can compare the energy efficiency of different housing; and

(ii) Program activities for the adoption of incentives for builders, utilities, and mortgage lenders to build, service, or finance energy efficient housing;

(7) Program activities to identify unfair or deceptive acts or practices which relate to the implementation of energy conservation measures and renewable energy measures and to educate consumers concerning such acts or practices;

(8) Program activities to modify patterns of energy consumption so as to reduce peak demands for energy and improve the efficiency of energy supply systems, including electricity supply systems;

(9) Program activities to promote energy efficiency as an integral component of economic development planning conducted by State, local, or other governmental entities or by energy utilities;

(10) Program activities (enlisting appropriate trade and professional organizations in the development and financing of such programs) to provide training and education (including, if appropriate, training workshops, practice manuals, and testing for each area of energy efficiency technology) to building designers and contractors involved in building design and construction or in the sale, installation, and maintenance of energy systems and equipment to promote building energy efficiency;

(11) Program activities for the development of building retrofit standards and regulations, including retrofit ordinances enforced at the time of the sale of a building;

(12) Program activities to provide support for prefeasibility and feasibility studies for projects that utilize renewable energy and energy efficiency resource technologies in order to facilitate access to capital and credit for such projects;

(13) Program activities to facilitate and encourage the voluntary use of renewable energy technologies for eligible participants in Federal agency programs, including the Rural Electrification Administration and the Farmers Home Administration; and

(14) In accordance with paragraph (b) of this section, program activities to implement the Energy Technology Commercialization Services Program.

(b) This section prescribes requirements for establishing State-level Energy Technology Commercialization Services Program as an optional element of State plans.

(1) The program activities to implement the functions of the Energy Technology Commercialization Services Program shall:

(i) Aid small and start-up businesses in discovering useful and practical information relating to manufacturing and commercial production techniques and costs associated with new energy technologies;

(ii) Encourage the application of such information in order to solve energy technology product development and manufacturing problems;

(iii) Establish an Energy Technology Commercialization Services Program affiliated with an existing entity in each State;

(iv) Coordinate engineers and manufacturers to aid small and start-up businesses in solving specific technical problems and improving the cost effectiveness of methods for manufacturing new energy technologies;

(v) Assist small and start-up businesses in preparing the technical portions of proposals seeking financial assistance for new energy technology commercialization; and

(vi) Facilitate contract research between university faculty and students and small start-up businesses, in order to improve energy technology product development and independent quality control testing.

(2) Each State Energy Technology Commercialization Services Program shall develop and maintain a data base of engineering and scientific experts in energy technologies and product commercialization interested in participating in the service. Such data base shall, at a minimum, include faculty of institutions of higher education, retired manufacturing experts, and National Laboratory personnel.

(3) The services provided by the Energy Technology Commercialization Services Program established under this part shall be available to any small or start-up business. Such service programs shall charge fees which are affordable to a party eligible for assistance, which shall be determined by examining factors, including the following: the costs of the services received; the need of the recipient for the services; and the ability of the recipient to pay for the services.

§ 420.18Expenditure prohibitions and limitations.

(a) No financial assistance provided to a State under this part shall be used:

(1) For construction, such as construction of mass transit systems and exclusive bus lanes, or for construction or repair of buildings or structures;

(2) To purchase land, a building or structure or any interest therein;

(3) To subsidize fares for public transportation;

(4) To subsidize utility rate demonstrations or State tax credits for energy conservation measures or renewable energy measures; or

(5) To conduct, or purchase equipment to conduct, research, development or demonstration of energy efficiency or renewable energy techniques and technologies not commercially available.

(b) No more than 20 percent of the financial assistance awarded to the State for this program shall be used to purchase office supplies, library materials, or other equipment whose purchase is not otherwise prohibited by this section. Nothing in this paragraph shall be read to apply this 20 percent limitation to petroleum violation escrow funds used under this part.

(c) Demonstrations of commercially available energy efficiency or renewable energy techniques and technologies are permitted, and are not subject to the prohibitions of § 420.18(a)(1), or to the limitation on equipment purchases of § 420.18(b).

(d) A State may use regular or revolving loan mechanisms to fund SEP services which are consistent with this part and which are included in the State's approved SEP plan. The State may use loan repayments and any interest on the loan funds only for activities which are consistent with this part and which are included in the State's approved SEP plan.

(e) A State may use funds under this part for the purchase and installation of equipment and materials for energy conservation measures and renewable energy measures subject to the following terms and conditions:

(1) Such use must be included in the State's approved plan and, if funded by petroleum violation escrow funds, must be consistent with any judicial or administrative terms and conditions imposed upon State use of such funds;

(2) A State may use for these purposes no more than 50 percent of all funds allocated by the State to SEP in a given year, regardless of source, except that this limitation shall not include regular and revolving loan programs funded with petroleum violation escrow funds, and is subject to waiver by DOE for good cause. Loan documents shall ensure repayment of principal and interest within a reasonable period of time, and shall not include provisions of loan forgiveness.

(3) Subject to the restrictions of this part, State and local government buildings, as defined in § 420.2, are eligible for energy conservation measures and renewable energy measures under this section;

(4) Funds must be used to supplement and no funds may be used to supplant weatherization activities under the Weatherization Assistance Program for Low-Income Persons, under 10 CFR part 440;

(5) Subject to paragraph (e)(6) of this section, a State may use a variety of financial incentives to fund purchases and installation of materials and equipment under this paragraph including, but not limited to, regular loans, revolving loans, loan buy-downs, performance contracting, rebates, and grants.

(6) The following mechanisms are not allowed for funding the purchase and installation of materials and equipment under this paragraph:

(i) Rebates for more than 50 percent of the total cost of purchasing and installing materials and equipment (States shall set appropriate restrictions and limits to insure the most efficient use of rebates); and

(ii) Loan guarantees.

§ 420.19Administrative review.

(a) A State shall have 20 days from the date of receipt of a decision under § 420.14 to file a notice requesting administrative review in accordance with paragraph (b) of this section. If an applicant does not timely file such a notice, the decision under § 420.14 shall become final for DOE.

(b) A notice requesting administrative review shall be filed with the cognizant Regional Support Office Director and shall be accompanied by a written statement containing supporting arguments. If the cognizant Regional Support Office Director has disapproved an entire application for financial assistance, the State may request a public hearing.

(c) A notice or any other document shall be deemed filed under this section upon receipt.

(d) On or before 15 days from receipt of a notice requesting administrative review which is timely filed, the cognizant Regional Support Office Director shall forward to the Deputy Assistant Secretary, the notice requesting administrative review, the decision under § 420.14 as to which administrative review is sought, a draft recommended final decision for concurrence, and any other relevant material.

(e) If the State requests a public hearing on the disapproval of an entire application for financial assistance, the Deputy Assistant Secretary, within 15 days, shall give actual notice to the State and Federal Register notice of the date, place, time, and procedures which shall apply to the public hearing. Any public hearing under this section shall be informal and legislative in nature.

(f) On or before 45 days from receipt of documents under paragraph (d) of this section or the conclusion of the public hearing, whichever is later, the Deputy Assistant Secretary shall concur in, concur in as modified, or issue a substitute for the recommended decision of the cognizant Regional Support Office Director.

(g) On or before 15 days from the date of receipt of the determination under paragraph (f) of this section, the Governor may file an application for discretionary review by the Assistant Secretary. On or before 15 days from filing, the Assistant Secretary shall send a notice to the Governor stating whether the Deputy Assistant Secretary's determination will be reviewed. If the Assistant Secretary grants a review, a decision shall be issued no later than 60 days from the date review is granted. The Assistant Secretary may not issue a notice or decision under this paragraph without the concurrence of the DOE Office of General Counsel.

(h) A decision under paragraph (f) of this section shall be final for DOE if there is no review under paragraph (g) of this section. If there is review under paragraph (g) of this section, the decision thereunder shall be final for DOE and no appeal shall lie elsewhere in DOE.

(i) Prior to the effective date of the termination or suspension of a grant award for failure to implement an approved State plan in compliance with the requirements of this part, a grantee shall have the right to written notice of the basis for the enforcement action and of the opportunity for public hearing before the DOE Financial Assistance Appeals Board notwithstanding any provisions to the contrary of 10 CFR 600.22, 600.24, 600.25, and 600.243. To obtain a public hearing, the grantee must request an evidentiary hearing, with prior Federal Register notice, in the election letter submitted under Rule 2 of 10 CFR 1024.4 and the request shall be granted notwithstanding any provisions to the contrary of Rule 2.

Subpart C—Implementation of Special Projects Financial Assistance§ 420.30Purpose and scope.

(a) This subpart sets forth DOE's policies and procedures for implementing special projects financial assistance under this part.

(b) For years in which such funding is available, States may apply for financial assistance to undertake a variety of State-oriented energy-related special projects activities in addition to the funds provided under the regular SEP grants.

(c) The types of funded activities may vary from year to year, and from State to State, depending upon funds available for each type of activity and DOE and State priorities.

(d) A number of end-use sector programs in the Office of Energy Efficiency and Renewable Energy participate in the funding of these activities, and the projects must meet the requirements of those programs.

(2) To facilitate the commercialization of emerging and underutilized energy efficiency and renewable energy technologies; and

(3) To increase the responsiveness of Federally funded technology development efforts to the needs of the marketplace.

§ 420.31Notice of availability.

(a) If in any fiscal year DOE has funds available for special projects, DOE shall publish in the Federal Register one or more notice(s) of availability of SEP special projects financial assistance.

(b) Each notice of availability shall cite this part and shall include:

(1) Brief descriptions of the activities for which funding is available;

(2) The amount of money DOE has available or estimates it will have available for award for each type of activity, and the total amount available;

(3) The program official to contact for additional information, application forms, and the program guidance/solicitation document; and

(4) The dates when:

(i) The program guidance/solicitation will be available; and

(ii) The applications for financial assistance must be received by DOE.

§ 420.32Program guidance/solicitation.

After the publication of the notice of availability in the Federal Register, DOE shall, upon request, provide States interested in applying for one or more project(s) under the special projects financial assistance with a detailed program guidance/solicitation that will include:

(a) The control number of the program;

(b) The expected duration of DOE support or period of performance;

(c) An application form or the format to be used, location for application submission, and number of copies required;

(d) The name of the DOE program office contact from whom to seek additional information;

(e) Detailed descriptions of each type of program activity for which financial assistance is being offered;

(f) The amount of money available for award, together with any limitations as to maximum or minimum amounts expected to be awarded;

(g) Deadlines for submitting applications;

(h) Evaluation criteria that DOE will apply in the selection and ranking process for applications for each program activity;

(i) The evaluation process to be applied to each type of program activity;

(j) A listing of program policy factors if any that DOE may use in the final selection process, in addition to the results of the evaluations, including:

(1) The importance and relevance of the proposed applications to SEP and the participating programs in the Office of Energy Efficiency and Renewable Energy; and

(2) Geographical diversity;

(k) Reporting requirements;

(l) References to:

(1) Statutory authority for the program;

(2) Applicable rules; and

(3) Other terms and conditions applicable to awards made under the program guidance/solicitation; and

(m) A statement that DOE reserves the right to fund in whole or in part, any, all, or none of the applications submitted.

§ 420.33Application requirements.

(a) Consistent with § 420.32 of this part, DOE shall set forth general and special project activity-specific requirements for applications for special projects financial assistance in the program guidance/solicitation.

(b) In addition to any other requirements, all applications shall provide:

(1) A detailed description of the proposed project, including the objectives of the project in relationship to DOE's program and the State's plan for carrying it out;

(2) A detailed budget for the entire proposed period of support, with written justification sufficient to evaluate the itemized list of costs provided on the entire project; and

(3) An implementation schedule for carrying out the project.

(c) DOE may, subsequent to receipt of an application, request additional budgetary information from a State when necessary for clarification or to make informed preaward determinations.

(d) DOE may return an application which does not include all information and documentation required by this part, 10 CFR part 600, or the program guidance/solicitation, when the nature of the omission precludes review of the application.

§ 420.34Matching contributions or cost-sharing.

DOE may require (as set forth in the program guidance/solicitation) States to provide either:

(a) A matching contribution of at least a specified percentage of the Federal financial assistance award; or

(b) A specified share of the total cost of the project for which financial assistance is provided.

§ 420.35Application evaluation.

(a) DOE staff at the cognizant Regional Support Office shall perform an initial review of all applications to ensure that the State has provided the information required by this part, 10 CFR part 600, and the program guidance/solicitation.

(b) DOE shall group, and technically evaluate according to program activity, all applications determined to be complete and satisfactory.

(c) DOE shall select evaluators on the basis of their professional qualifications and expertise relating to the particular program activity being evaluated.

(1) DOE anticipates that evaluators will primarily be DOE employees; but

(2) If DOE uses non-DOE evaluators, DOE shall require them to comply with all applicable DOE rules or directives concerning the use of outside evaluators.

§ 420.36Evaluation criteria.

The evaluation criteria, including program activity-specific criteria, will be set forth in the program guidance/solicitation document.

§ 420.37Selection.

(a) DOE may make selection of applications for award based on:

(1) The findings of the technical evaluations;

(2) The priorities of DOE, SEP, and the participating program offices;

(3) The availability of funds for the various special project activities; and

(4) Any program policy factors set forth in the program guidance/solicitation.

(b) The Director, Office of State and Community Programs makes the final selections of projects to be awarded financial assistance.

PT. 430PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTSSubpart A—General ProvisionsSec.430.1Purpose and scope.430.2Definitions.Subpart B—Test Procedures430.21Purpose and scope.430.22Reference sources.430.23Test procedures for measures of energy consumption.430.24Units to be tested.430.25Laboratory accreditation program.430.27Petitions for waiver and applications for interim waiver.Appendix A1 (Alternative) To Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Electric Refrigerators and Electric Refrigerator-FreezersAppendix B1 (Alternative) to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of FreezersAppendix C to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of DishwashersAppendix D to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes DryersAppendix E to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Water HeatersAppendix F to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Room Air ConditionersAppendix G to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Unvented Home Heating EquipmentAppendix H to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Television SetsAppendix I to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Conventional Ranges, Conventional Cooking Tops, Conventional Ovens, Microwave Ovens and Microwave/Conventional RangesAppendix J to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Automatic and Semi-Automatic Clothes WashersAppendix K to Subpart B of Part 430——[Reserved]Appendix L to Subpart B of Part 430——[Reserved]Appendix M to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Central Air ConditionersAppendix N to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of FurnacesAppendix O to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Vented Home Heating EquipmentAppendix P to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Pool HeatersAppendix Q to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Fluorescent Lamp BallastsAppendix R to Subpart B of Part 430—Uniform Test Method for Measuring Average Lamp Efficacy (LE) and Color Rendering Index (CRI) of Electric LampsSubpart C—Energy Conservation Standards430.31Purpose and scope.430.32Energy conservation standards and effective dates.430.33Preemption of State regulations.Appendix A to Subpart C of Part 430—Procedures, Interpretations and Policies for Consideration of New or Revised Energy Conservation Standards for Consumer ProductsSubpart D—Petitions To Exempt State Regulation From Preemption; Petitions to Withdraw Exemption of State Regulation430.40Purpose and scope.430.41Prescriptions of a rule.430.42Filing requirements.430.43Notice of petition.430.44Consolidation.430.45Hearing.430.46Disposition of petitions.430.47Effective dates of final rules.430.48Request for reconsideration.430.49Finality of decision.Subpart E—Small Business Exemptions430.50Purpose and scope.430.51Eligibility.430.52Requirements for applications.430.53Processing of applications.430.54Referral to the Attorney General.430.55Evaluation of application.430.56Decision and order.430.57Duration of temporary exemption.Subpart F—Certification and Enforcement430.60Purpose and scope.430.61Prohibited acts.430.62Submission of data.430.63Sampling.430.64Imported products.430.65Exported products.430.70Enforcement.430.71Cessation of distribution of a basic model.430.72Subpoena.430.73Remedies.430.74Hearings and Appeals.430.75Confidentiality.Appendix A to Subpart F of Part 430—Compliance Statement.Appendix B to Subpart F of Part 430—Sampling Plan for Enforcement Testing.Authority:

42 U.S.C. 6291-6309.

Source:

42 FR 27898, June 1, 1977, unless otherwise noted.

Subpart A—General Provisions§ 430.1Purpose and scope.

This part establishes the regulations for the implementation of part B of title III (42 U.S.C. 6291-6309) of the Energy Policy and Conservation Act (Pub. L. 94-163), as amended by Pub. L. 94-385, Pub. L. 100-12, and Pub. L. 100-357, which establishes an energy conservation program for consumer products other than automobiles.

[54 FR 6074, Feb. 7, 1989]§ 430.2Definitions.

For purposes of this part, words shall be defined as provided for in section 321 of the Act and as follows—

Annual fuel utilization efficiency means the efficiency descriptor for furnaces and boilers, determined using test procedures prescribed under section 323 and based on the assumption that all—

(a) Weatherized warm air furnaces or boilers are located out-of-doors;

(b) Warm air furnaces which are not weatherized are located indoors and all combustion and ventilation air is admitted through grill or ducts from the outdoors and does not communicate with air in the conditioned space;

(c) Boilers which are not weatherized are located within the heated space.

Automatic clothes washer means a class of clothes washer which has a control system which is capable of scheduling a preselected combination of operations, such as regulation of water temperature, regulation of the water fill level, and performance of wash, rinse, drain, and spin functions without the need for user intervention subsequent to the initiation of machine operation. Some models may require user intervention to initiate these different segments of the cycle after the machine has begun operation, but they do not require the user to intervene to regulate the water temperature by adjusting the external water faucet valves.

Ballast efficacy factor means the relative light output divided by the power imput of a fluorescent lamp ballast, as measured under test conditions specified in ANSI Standard C82.2-1984.

Baseboard electric heater means an electric heater which is intended to be recessed in or surface mounted on walls at floor level, which is characterized by long, low physical dimensions, and which transfers heat by natural convection and/or radiation.

Basic model means all units of a given type of covered product (or class thereof) manufactured by one manufacturer and—

(1) With respect to refrigerators and refrigerator-freezers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(2) With respect to freezers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(3) With respect to dishwashers, which have electrical characteristics which are essentially identical and which do not have any differing physical or functional characteristics which affect energy consumption.

(4) With respect to clothes dryers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(5) With respect to water heaters, which have the same primary energy source and which, with the exception of immersed heating elements, do not have any differing electrical, physical, or functional characteristics that affect energy consumption.

(6) With respect to room air conditioners, having essentially identical functional physical and electrical characteristics.

(7) With respect to unvented home heating equipment, having essentially identical functional physical and electrical characteristics.

(8) With respect to television sets, which have identical screen size, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(9) With respect to kitchen ranges and ovens, whose major cooking components have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(10) With respect to clothes washers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(11) With respect to central air conditioners, which have electrical characteristics which are essentially identical and which do not have any differing physical or functional characteristics that affect energy consumption.

(12) With respect to furnaces, having the same primary energy source and essentially identical functional, physical and electrical characteristics.

(13) With respect to vented home heating equipment, having the same primary energy source and essentially identical functional, physical and electrical characteristics.

(14) With respect to fluorescent lamp ballasts, which have electrical characteristics, including a Power Factor (P.F.) of equal value, which are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(15) With respect to general service fluorescent lamps which have photometric and electrical characteristics, including lumens per watt and Color Rendering Index (CRI) which are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

(16) With respect to general service incandescent lamps which have photometric and electrical characteristics, including lumens per watt, which are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.

Batch means a collection of production units of a basic model from which a batch sample is selected.

Batch sample means the collection of units of the same basic model from which test units are selected.

Batch sample size means the number of units in a batch sample.

Batch size means the number of units in a batch.

Btu means British thermal unit, which is the quantity of heat required to raise the temperature of one pound of water one degree Fahrenheit.

Ceiling electric heater means an electric heater which is intended to be recessed in, surface mounted on, or hung from a ceiling, and which transfers heat by radiation and/or convection (either natural or forced).

Central air conditioner means a product, other than a packaged terminal air conditioner, which is powered by single phase electric current, air cooled, rated below 65,000 Btu per hour, not contained within the same cabinet as a furnace, the rated capacity of which is above 225,000 Btu per hour, and is a heat pump or a cooling unit only.

Central system humidifier means a class of humidifier designed to add moisture into the air stream of a heating system.

Clothes washer means a consumer product designed to clean clothes, utilizing a water solution of soap and/or detergent and mechanical agitation or other movement, and must be one of the following classes: automatic clothes washers, semi-automatic clothes washers, and other clothes washers.

Coil family means a group of coils with the same basic design features that affect the heat exchanger performance. These features are the basic configuration, i.e., A-shape, V-shape, slanted or flat top, the heat transfer surfaces on refrigerant and air sides (flat tubes vs. grooved tubes, fin shapes), the tube and fin materials, and the coil circuitry. When a group of coils has all these features in common, it constitutes a “coil family.”

Cold Temperature Fluorescent Lamp means a fluorescent lamp specifically designed to start at -20°F when used with a ballast conforming to the requirements of American National Standards Institute standard C78.1.

Color Rendering Index or CRI means the measured degree of color shift objects undergo when illuminated by a light source as compared with the color of those same objects when illuminated by a reference source of comparable color temperature.

Color television set means an electrical device designed to convert incoming broadcast signals into color television pictures and associated sound.

Condenser-evaporator coil combination means a condensing unit made by one manufacturer and one of several evaporator coils, either manufactured by the same manufacturer or another manufacturer, intended to be combined with that particular condensing unit.

Condensing unit means a component of a central air conditioner which is designed to remove the heat absorbed by the refrigerant and to transfer it to the outside environment, and which consists of an outdoor coil, compressor(s), and air moving device.

Consumer product means any article (other than an automobile, as defined in section 501(1) of the Motor Vehicle Information and Cost Savings Act) of a type:

(a) Which in operation consumes, or is designed to consume, energy; and

(b) Which, to any significant extent, is distributed in commerce for personal use or consumption by individuals; without regard to whether such article or such type is in fact distributed in commerce for personal use or consumption by an individual, except that such term includes fluorescent lamp ballasts distributed in commerce for personal or commercial use or consumption.

Conventional cooking top means a class of kitchen ranges and ovens which is a household cooking appliance consisting of a horizontal surface containing one or more surface units which include either a gas flame or electric resistance heating.

Conventional oven means a class of kitchen ranges and ovens which is a household cooking appliance consisting of one or more compartments intended for the cooking or heating of food by means of either a gas flame or electric resistance heating. It does not include portable or countertop ovens which use electric resistance heating for the cooking or heating of food and are designed for an electrical supply of approximately 120 volts.

Conventional range means a class of kitchen ranges and ovens which is a household cooking appliance consisting of a conventional cooking top and one or more conventional ovens.

Convertible cooking appliance means any kitchen range and oven which is a household cooking appliance designed by the manufacturer to be changed in service from use with natural gas to use with LP-gas, and vice versa, by incorporating in the appliance convertible orifices for the main gas burners and a convertible gas pressure regulator.

Covered product means a consumer product of a type specified in section 322 of the Act.

Direct vent system means a system supplied by a manufacturer which provides outdoor air or air from an unheated space (such as an attic or crawl space) directly to a furnace or vented heater for combustion and for draft relief if the unit is equipped with a draft control device.

Dishwasher means a cabinet-like appliance which with the aid of water and detergent, washes, rinses, and dries (when a drying process is included) dishware, glassware, eating utensils, and most cooking utensils by chemical, mechanical and/or electrical means and discharges to the plumbing drainage system.

DOE means the Department of Energy.

Electric boiler means an electrically powered furnace designed to supply low pressure steam or hot water for space heating application. A low pressure steam boiler operates at or below 15 pounds per square inch gauge (psig) steam pressure; a hot water boiler operates at or below 160 psig water pressure and 250° F. water temperature.

Electric central furnace means a furnace designed to supply heat through a system of ducts with air as the heating medium, in which heat is generated by one or more electric resistance heating elements and the heated air is circulated by means of a fan or blower.

Electric clothes dryer means a cabinet-like appliance designed to dry fabrics in a tumble-type drum with forced air circulation. The heat source is electricity and the drum and blower(s) are driven by an electric motor(s).

Electric refrigerator means a cabinet designed for the refrigerated storage of food at temperatures above 32° F., and having a source of refrigeration requiring single phase, alternating current electric energy input only. An electric refrigerator may include a compartment for the freezing and storage of food at temperatures below 32° F., but does not provide a separate low temperature compartment designed for the freezing and storage of food at temperatures below 8° F.

Electric refrigerator-freezer means a cabinet which consists of two or more compartments with at least one of the compartments designed for the refrigerated storage of food at temperatures above 32° F. and with at least one of the compartments designed for the freezing and storage of food at temperatures below 8° F. which may be adjusted by the user to a temperature of 0° F. or below. The source of refrigeration requires single phase, alternating current electric energy input only.

Energy conservation standard means:

(a) A performance standard which prescribes a minimum level of energy efficiency or a maximum quantity of energy use for a covered product, determined in accordance with test procedures prescribed under section 323; or

(b) A design requirement for the products specified in paragraphs (6), (7), (8), (10), and (13) of section 322(a) of the Act; and includes any other requirements which the Secretary may prescribe under section 325(o) of the Act.

Evaporator coil means a component of a central air conditioner which is designed to absorb heat from an enclosed space and transfer the heat to a refrigerant.

Floor electric heater means an electric heater which is intended to be recessed in a floor, and which transfers by radiation and/or convection (either natural or forced).

Fluorescent Lamp means a low pressure mercury electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light, including the following:

(1) Any straight-shaped lamp (commonly referred to as 4-foot medium bi-pin lamps) with medium bi-pin bases of nominal overall length of 48 inches and rated wattage of 28 or more.

(2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped lamps) with medium bi-pin bases of nominal overall length between 22 and 25 inches and rated wattage of 28 or more.

(4) Any instant start lamp (commonly referred to as 8-foot slimline lamps) with single pin bases of nominal overall length of 96 inches and rated wattage of 52 or more, as defined in ANSI C78.3-1991. (See Incorporation by Reference § 430.22(a).)

Fluorescent lamp ballast means a device which is used to start and operate fluorescent lamps by providing a starting voltage and current and limiting the current during normal operation.

Forced air central furnace means a gas or oil burning furnace designed to supply heat through a system of ducts with air as the heating medium. The heat generated by combustion of gas or oil is transferred to the air within a casing by conduction through heat exchange surfaces and is circulated through the duct system by means of a fan or blower.

Freezer means a cabinet designed as a unit for the freezing and storage of food at temperatures of 0° F. or below, and having a source of refrigeration requiring single phase, alternating current electric energy input only.

Furnace means a product which utilizes only single-phase electric current, or single-phase electric current or DC current in conjunction with natural gas, propane, or home heating oil, and which—

(a) Is designed to be the principal heating source for the living space of a residence;

(b) Is not contained within the same cabinet with a central air conditioner whose rated cooling capacity is above 65,000 Btu per hour;

(d) Has a heat input rate of less than 300,000 Btu per hour for electric boilers and low pressure steam or hot water boilers and less than 225,000 Btu per hour for forced-air central furnaces, gravity central furnaces, and electric central furnaces, gravity central furnaces, and electric central furnaces.

Gas means either natural gas or propane.

Gas clothes dryer means a cabinet-like appliance designed to dry fabrics in a tumble-type drum with forced air circulation. The heat source is gas and the drum and blower(s) are driven by an electric motor(s).

General Service Fluorescent Lamp means any fluorescent lamp which can be used to satisfy the majority of fluorescent lighting applications, but does not include any lamp designed and marketed for the following nongeneral applications:

(7) Lamps primarily designed to produce radiation in the ultra-violet region of the spectrum.

(8) Lamps with a Color Rendering Index of 82 or greater.

General Service Incandescent Lamp means any incandescent lamp (other than a miniature or photographic lamp) that has an E26 medium screw base, a rated voltage range at least partially within 115 to 130 volts, and which can be used to satisfy the majority of lighting applications, but does not include any lamps specifically designed for:

Gravity central furnace means a gas fueled furnace which depends primarily on natural convection for circulation of heated air and which is designed to be used in conjunction with a system of ducts.

Heat pump means a product, other than a packaged terminal heat pump, which consists of one or more assemblies, powered by single phase electric current, rated below 65,000 Btu per hour, utilizing an indoor conditioning coil, compressor, and refrigerant-to-outdoor air heat exchanger to provide air heating, and may also provide air cooling, dehumidifying, humidifying circulating, and air cleaning.

Home heating equipment, not including furnaces means vented home heating equipment and unvented home heating equipment.

Immersed heating element means an electrically powered heating device which is designed to operate while totally immersed in water in such a manner that the heat generated by the device is imparted directly to the water.

Incandescent Lamp means any lamp in which light is produced by a filament heated to incandescence by an electric current, including only the following:

(1) Any lamp (commonly referred to as lower wattage nonreflector general service lamps, including any tungsten halogen lamp) that has a rated wattage between 30 and 199 watts, has an E26 medium screw base, has a rated voltage or voltage range that lies at least partially within 115 and 130 volts, and is not a reflector lamp.

(2) Any lamp (commonly referred to as a reflector lamp) which is not colored or designed for rough or vibration service applications that contains an inner reflective coating on the outer bulb to direct the light, an R, PAR or similar bulb shapes (excluding ER or BR) with an E26 medium screw base, a rated voltage or voltage range that lies at least partially within 115 to 130 volts, a diameter which exceeds 2.75 inches, and is either—(I) a low(er) wattage reflector lamp which has a rated wattage between 40 and 205 watts; or (II) a high(er) wattage reflector lamp which has a rated wattage above 205 watts.

(3) Any general service incandescent lamp (commonly referred to as a high- or higher-wattage lamp) that has a rated wattage above 199 watts (above 205 watts for a high wattage reflector lamp).

Kerosene means No. 1 fuel oil with a viscosity meeting the specifications as specified in UL-730-1974, section 36.9 and in tables 2 and 3 of ANSI Standard Z91.1-1972.

Kitchen ranges and ovens means consumer products that are used as the major household cooking appliances. They are designed to cook or heat different types of food by one or more of the following sources of heat: Gas, electricity, or microwave energy. Each product may consist of a horizontal cooking top containing one or more surface units and/or one or more heating compartments. They must be one of the following classes: Conventional ranges, conventional cooking tops, conventional ovens, microwave ovens, microwave/conventional ranges and other kitchen ranges and ovens.

Lamp Efficacy (LE) means the measured lumen output of a lamp in lumens divided by the measured lamp electrical power input in watts expressed in units of lumens per watt (LPW).

Low pressure steam or hot water boiler means an electric, gas or oil burning furnace designed to supply low pressure steam or hot water for space heating application. A low pressure steam boiler operates at or below 15 pounds psig steam pressure; a hot water boiler operates at or below 160 psig water pressure and 250° F. water temperature.

Major cooking component means either a conventional cooking top, a conventional oven or a microwave oven.

Manufacturer means any person who manufactures a consumer product.

Medium Base Compact Fluorescent Lamp means an integrally ballasted fluorescent lamp with a medium screw base, a rated input voltage range of 115 to 130 volts and which is designed as a direct replacement for a general service incandescent lamp.

Microwave/conventional range means a class of kitchen ranges and ovens which is a household cooking appliance consisting of a microwave oven, a conventional oven, and a conventional cooking top.

Microwave oven means a class of kitchen ranges and ovens which is a household cooking appliance consisting of a compartment designed to cook or heat food by means of microwave energy.

Monochrome television set means an electrical device designed to convert incoming broadcast signals into monochrome television pictures and associated sound.

Natural gas means natural gas as defined by the Federal Power Commission.

Other clothes washer means a class of clothes washer which is not an automatic or semi-automatic clothes washer.

Other kitchen ranges and ovens means any class of kitchen ranges and ovens other than the conventional range, conventional cooking top, conventional oven, microwave oven, and microwave/conventional range classes.

Outdoor furnace or boiler is a furnace or boiler normally intended for installation out-of-doors or in an unheated space (such as an attic or a crawl space).

Packaged terminal air conditioner means a wall sleeve and a separate unencased combination of heating and cooling assemblies specified by the builder and intended for mounting through the wall. It includes a prime source of refrigeration, separable outdoor louvers, forced ventilation, and heating availability energy.

Packaged terminal heat pump means a packaged terminal air conditioner that utilizes reverse cycle refrigeration as its prime heat source and should have supplementary heating availability by builder's choice of energy.

Person includes any individual, corporation, company, association, firm, partnership, society, trust, joint venture or joint stock company, the government, and any agency of the United States or any State or political subdivision thereof.

Pool heater means an appliance designed for heating nonpotable water contained at atmospheric pressure, including heating water in swimming pools, spas, hot tubs and similar applications.

Portable electric heater means an electric heater which is intended to stand unsupported, and can be moved from place to place within a structure. It is connected to electric supply by means of a cord and plug, and transfers heat by radiation and/or convention (either natural or forced).

Primary heater means a heating device that is the principal source of heat for a structure and includes baseboard electric heaters, ceiling electric heaters, and wall electric heaters.

Room air conditioner means a consumer product, other than a “packaged terminal air conditioner,” which is powered by a single phase electric current and which is an encased assembly designed as a unit for mounting in a window or through the wall for the purpose of providing delivery of conditioned air to an enclosed space. It includes a prime source of refrigeration and may include a means for ventilating and heating.

Secretary means the Secretary of the Department of Energy.

Semi-automatic clothes washer means a class of clothes washer that is the same as an automatic clothes washer except that user intervention is required to regulate the water temperature by adjusting the external water faucet valves.

State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.

State regulation means a law or regulation of a State or political subdivision thereof.

Supplementary heater means a heating device that provides heat to a space in addition to that which is supplied by a primary heater. Supplementary heaters include portable electric heaters.

Surface unit means either a heating unit mounted in a cooking top, or a heating source and its associated heated area of the cooking top, on which vessels are placed for the cooking or heating of food.

Television set means a color television set or a monochrome television set.

Unvented home heating equipment means a class of home heating equipment, not including furnaces, used for the purpose of furnishing heat to a space proximate to such heater directly from the heater and without duct connections and includes electric heaters and unvented gas and oil heaters.

Vented floor furnace means a self-contained vented heater suspended from the floor of the space being heated, taking air for combustion from outside this space. The vented floor furnace supplies heated air circulated by gravity or by a fan directly into the space to be heated through openings in the casing.

Vented home heating equipment or vented heater means a class of home heating equipment, not including furnaces, designed to furnish warmed air to the living space of a residence, directly from the device, without duct connections (except that boots not to exceed 10 inches beyond the casing may be permitted) and includes: vented wall furnace, vented floor furnace, and vented room heater.

Vented room heater means a self-contained, free standing, nonrecessed, vented heater for furnishing warmed air to the space in which it is installed. The vented room heater supplies heated air circulated by gravity or by a fan directly into the space to be heated through openings in the casing.

Vented wall furnace means a self-contained vented heater complete with grilles or the equivalent, designed for incorporation in, or permanent attachment to, a wall of a residence and furnishing heated air circulated by gravity or by a fan directly into the space to be heated through openings in the casing.

Wall electric heater means an electric heater (excluding baseboard electric heaters) which is intended to be recessed in or surface mounted on walls, which transfers heat by radiation and/or convection (either natural or forced) and which includes forced convectors, natural convectors, radiant heaters, high wall or valance heaters.

Water heater means a product which utilizes oil, gas, or electricity to heat potable water for use outside the heater upon demand, including—

(a) Storage type units which heat and store water at a thermostatically controlled temperature, including gas storage water heaters with an input of 75,000 Btu per hour or less, oil storage water heaters with an input of 105,000 Btu per hour or less, and electric storage water heaters with an input of 12 kilowatts or less;

(b) Instantaneous type units which heat water but contain no more than one gallon of water per 4,000 Btu per hour of input, including gas instantaneous water heaters with an input of 200,000 Btu per hour or less, oil instantaneous water heaters with an input of 210,000 Btu per hour or less, and electric instantaneous water heaters with an input of 12 kilowatts or less; and

(c) Heat pump type units, with a maximum current rating of 24 amperes at a voltage no greater than 250 volts, which are products designed to transfer thermal energy from one temperature level to a higher temperature level for the purpose of heating water, including all ancillary equipment such as fans, storage tanks, pumps, or controls necessary for the device to perform its function.

Weatherized warm air furnace or boiler means a furnace or boiler designed for installation outdoors, approved for resistance to wind, rain, and snow, and supplied with its own venting system.

[42 FR 27898, June 1, 1977]Editorial Note:

For Federal Register citations affecting § 430.2, see the List of CFR Sections Affected in the Finding Aids section of this volume.

Subpart B—Test Procedures§ 430.21Purpose and scope.

This subpart contains test procedures required to be prescribed by DOE pursuant to section 323 of the Act.

§ 430.22Reference Sources.

(a) Materials Incorporated by Reference—(1) General. The following standards which are not otherwise set forth in this part 430 are incorporated by reference. The material listed in paragraph (a)(3) of this section has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a standard by the standard-setting organization will not affect the DOE test procedures unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and a notice of any change in the material will be published in the Federal Register.

(2) Availability of standards. The standards incorporated by reference are available for inspection at:

(b) Reference materials—(1) General. The references listed in paragraph (b)(2) of the section are referred to in the DOE test procedures and elsewhere in 10 CFR part 430 but are not incorporated by reference. These sources are given here for information and guidance.

(a) Refrigerators and refrigerator-freezers. (1) The estimated annual operating cost for electric refrigerators and electric refrigerator-freezers without an anti-sweat heater switch shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 of appendix A1 of this subpart, and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(2) The estimated annual operating cost for electric refrigerators and electric refrigerator-freezers with an anti-sweat heater switch shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to 6.2 of appendix A1 of this subpart, and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(3) The estimated annual operating cost for any other specified cycle type for electric refrigerators and electric refrigerator-freezers shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) the average per-cycle energy consumption for the specified cycle type, determined according to 6.2 of appendix A1 to this subpart, and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(4) The energy factor for electric refrigerators and electric refrigerator-freezers, expressed in cubic feet per kilowatt-hour per cycle, shall be—

(i) For electric refrigerators and electric refrigerator-freezers not having an anti-sweat heater switch, the quotient of (A) the adjusted total volume in cubic feet, determined according to 6.1 of appendix A1 of this subpart, divided by (B) the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 of appendix A1 of this subpart, the resulting quotient then being rounded off to the second decimal place, and

(ii) For electric refrigerators and electric refrigerator-freezers having an anti-sweat heater switch, the quotient of (A) the adjusted total volume in cubic feet, determined according to 6.1 of appendix A1 of this subpart, divided by (B) half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to 6.2 of appendix A1 of this subpart, the resulting quotient then being rounded off to the second decimal place.

(5) The annual energy use of electric refrigerators and electric refrigerator-freezers equals the representative average use cycle of 365 cycles per year times the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 of appendix A1 of this subpart.

(6) Other useful measures of energy consumption for electric refrigerators and electric refrigerator-freezers shall be those measures of energy consumption for electric refrigerators and electric refrigerator-freezers which the Secretary determines are likely to assist consumers in making purchasing decisions which are derived from the application of appendix A1 of this subpart.

(b) Freezers. (1) The estimated annual operating cost for freezers without an anti-sweat heater switch shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 of appendix B1 of this subpart, and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(2) The estimated annual operating cost for freezers with an anti-sweat heater switch shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to 6.2 of appendix B1 of this subpart, and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(3) The estimated annual operating cost for an other specified cycle type for freezers shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) the average per-cycle energy consumption for the specified cycle type, determined according to 6.2 of appendix B1 of this subpart and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(4) The energy factor for freezers, expressed in cubic feet per kilowatt-hour per cycle, shall be—

(i) For freezers not having an anti-sweat heater switch, the quotient of (A) the adjusted net refrigerated volume in cubic feet, determined according to 6.1 of appendix B1 of this subpart, divided by (B) the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to or 6.2 of appendix B1 of this subpart, the resulting quotient then being rounded off to the second decimal place, and

(ii) For freezers having an anti-sweat heater switch, the quotient of (A) the adjusted net refrigerated volume in cubic feet, determined according to 6.1 of appendix B1 of this subpart, divided by (B) half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to or 6.2 of appendix B1 of this subpart, the resulting quotient then being rounded off to the second decimal place.

(5) The annual energy use of all freezers equals the representative average-use cycle of 365 cycles per year times the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 of appendix B1 of this subpart.

(6) Other useful measures of energy consumption for freezers shall be those measures of energy consumption for freezers which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix B1 of this subpart.

(c) Dishwashers. (1) The estimated annual operating cost for dishwashers not having a truncated normal cycle as defined in 1.5 of appendix C to this subpart shall be—

(i) When electrically-heated water is used, the product of the following three factors: (A) The representative average-use cycle of 322 cycles per year, (B) the total per-cycle energy consumption for the normal cycle as defined in 1.3 of appendix C to this subpart in kilowatt-hours per cycle, determined according to 4.4 of appendix C to this subpart, and (C) the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and

(ii) When gas-heated or oil-heated water is used, the product of: The representative average use cycle of 322 cycles per year times the sum of (A) the product of the per-cycle machine electrical energy consumption for the normal cycle in kilowatt-hours per cycle, determined according to 4.3 of appendix C to this subpart, times the representative average unit cost in dollars per kilowatt-hours as provided by the Secretary plus (B) the product of the per-cycle water energy consumption for gas-heated or oil-heated water for the normal cycle, in Btu's per cycle, determined according to 4.2 of appendix C to this subpart, times the representative average unit cost in dollars per Btu for gas or oil, as appropriate, as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(iii) When cold water (50 ° F) is used, the product of the following three factors:

(A) The representative average use cycle of 322 cycles per year times,

(B) The product of the per-cycle machine electrical energy consumption for the normal cycle in kilowatt-hours per cycle, determined according to 4.3 of appendix C to this subpart, and

(C) The representative average unit cost in dollars per kilowatt-hours as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(2) The estimated annual operating cost for dishwashers having a truncated normal cycle as defined in 1.5 of appendix C to this subpart shall be—

(i) When electrically-heated water is used, the product of the following three factors: (A) The representative average use cycle of 322 cycles per year, (B) one-half the sum of (1) the total per-cycle energy consumption for the normal cycle as defined in 1.3 of appendix C to this subpart plus (2) the total per-cycle energy consumption for the truncated normal cycle as defined in 1.5 of appendix C to this subpart, each in kilowatt-hours and determined according to 4.4 of appendix C to this subpart, and (C) the representative average unit cost in dollars per killowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and

(ii) When gas-heated or oil-heated water is used, the product of: The representative average use cycle of 322 cycles per year times the sum of (A) one-half the product of the per-cycle machine electrical energy consumption for the normal cycle as defined in 1.3 of appendix C to this subpart, determined according to 4.3 of appendix C to this subpart, times the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, plus one-half the product of the per-cycle machine electrical energy consumption for the truncated normal cycle as defined in 1.5 of appendix C to this subpart, determined according to 4.3 of appendix C to this subpart, times the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary plus (B) one-half the product of the per-cycle water energy consumption for gas-heated or oil-heated water for the normal cycle as defined in 1.3 of appendix C to this subpart, in Btu's per cycle, determined according to 4.2 of appendix C to this subpart, times the representative average unit cost in dollars per Btu for gas or oil, as appropriate, as provided by the Secretary, plus one-half the product of the per-cycle water energy consumption for gas-heated or oil-heated water for the truncated normal cycle as defined in 1.5 of appendix C to this subpart, in Btu's per cycle, determined according to 4.2 of appendix C to this subpart, times the representative average unit cost in dollars per Btu for gas or oil, as appropriate, as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(iii) When cold water (50 ° F) is used, the product of the following three factors:

(A) The representative average use cycle of 322 cycles per year,

(B) One-half the sum of (1) the total per-cycle energy consumption for the normal cycle as defined in 1.3 of appendix C to this subpart plus (2) the truncated normal cycle as defined in 1.5 of appendix C to this subpart, each in kilowatt-hours and determined according to 4.4 of appendix C to this subpart, and

(C) The representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(3) The energy factor for dishwashers, expressed in cycles per kilowatt-hour shall be—

(i) For dishwashers not having a truncated normal cycle, as defined in 1.5 of appendix C to this subpart, capable of being preset, the reciprocal of the total per cycle energy consumption for the normal cycle in kilowatt-hours per cycle, determined according to 4.4 of appendix C to this subpart, and

(ii) For dishwashers having a truncated normal cycle, as defined in 1.5 of appendix C to this subpart, capable of being preset, the reciprocal of one-half the sum of (A) the total per-cycle energy consumption for the normal cycle plus (B) the total per-cycle energy consumption for the truncated normal cycle, each in kilowatt-hours per cycle and determined according to 4.4 of appendix C to this subpart.

(4) Other useful measures of energy consumption for dishwashers shall be those measures of energy consumption for dishwashers which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix C to this subpart.

(i) For an electric clothes dryer, the product of the following three factors: (A) The representative average-use cycle of 416 cycles per year, (B) the total per-cycle energy consumption in kilowatt-hours per-cycle, determined according to 4.1 of appendix D to this subpart, and (C) the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and

(ii) For a gas clothes dryer, the product of the representative average-use cycle of 416 cycles per year times the sum of (A) the product of the gas dryer electric per-cycle energy consumption in kilowatt-hours per cycle, determined according to 4.2 of appendix D to this subpart, times the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary plus (B) the product of the total gas dryer gas energy consumption per cycle, in Btu's per cycle, determined according to 4.5 of appendix D of this subpart, times the representative average unit cost in dollars per Btu as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(2) The energy factor, expressed in pounds of clothes per kilowatt-hour, for clothes dryers shall be either the quotient of a 3-pound bone-dry test load for compact dryers, as defined by 2.6.1 of appendix D to this subpart or the quotient of a 7 pound bone-dry test load for standard dryers, as defined by 2.6.2 of appendix D to this subpart, as applicable, divided by the clothes dryer energy consumption per cycle, as determined according to 4.1 for electric clothes dryers and 4.6 for gas clothes dryers of appendix D to this subpart, the resulting quotient then being rounded off to the nearest hundredth (.01).

(3) Other useful measures of energy consumption for clothes dryers shall be those measures of energy consumption for clothes dryers which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix D to this subpart.

(i) For a gas or oil water heater, the product of the annual energy consumption, determined according to section 6.1.8 or 6.2.5 of appendix E of this subpart, times the representative average unit cost of gas or oil, as appropriate, in dollars per Btu as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(ii) For an electric water heater, the product of the annual energy consumption, determined according to section 6.1.8 or 6.2.5 of appendix E of this subpart, times the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, divided by 3412 Btu per kilowatt-hour, the resulting quotient then being rounded off to the nearest dollar per year.

(2) The energy factor for the water heaters shall be—

(i) For a gas or oil water heater, as determined by section 6.1.7 or 6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.

(ii) For an electric water heater, as determined by section 6.1.7 or 6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.

(3) Other useful measures of energy consumption for water heaters shall be those measures of energy consumption for water heaters which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix E of this subpart.

(4) The alternative uniform test method for measuring the energy consumption of untested water heaters shall be that set forth in section 7.0 of appendix E of this subpart.

(f) Room air conditioners. (1) The estimated annual operating cost for room air conditioners, expressed in dollars per year, shall be determined by multiplying the following three factors: (i) Electrical input power in kilowatts as determined in accordance with 4.2 of appendix F to this subpart, (ii) The representative average-use cycle of 750 hours of compressor operation per year, and (iii) A representative average unit cost of electrical energy in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(2) The energy efficiency ratio for room air conditioners, expressed in Btu's per watt-hour, shall be the quotient of: (i) The cooling capacity in Btu's per hour as determined in accordance with 4.1 of appendix F to this subpart divided by: (ii) The electrical input power in watts as determined in accordance with 4.2 of appendix F to this subpart the resulting quotient then being rounded off to the nearest 0.1 Btu per watt-hour.

(3) The average annual energy consumption for room air conditioners, expressed in kilowatt-hours per year, shall be determined by multiplying together the following two factors: (i) Electrical input power in kilowatts as determined in accordance with 4.2 of appendix F to this subpart, and (ii) A representative average use cycle of 750 hours of compressor operation per year, the resulting product then being rounded off to the nearest kilowatt-hour per year.

(4) Other useful measures of energy consumption for room air conditioners shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix F to this subpart.

(g) Unvented home heating equipment. (1) The estimated annual operating cost for primary electric heaters, shall be the product of: (i) The average annual electric energy consumption in kilowatt-hours per year, determined according to section 3.1 of appendix G of this subpart and (ii) the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year.

(2) The estimated regional annual operating cost for primary electric heaters, shall be the product of: (i) The regional annual electric energy consumption in kilowatt-hours per year for primary heaters determined according to section 3.2 of appendix G of this subpart and (ii) the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year.

(3) The estimated operating cost per million Btu output shall be—

(i) For primary and supplementary electric heaters and unvented gas and oil heaters without an auxiliary electric system, the product of: (A) One million; and (B) the representative unit cost in dollars per Btu for natural gas, propane, or oil, as provided pursuant to section 323(b)(2) of the Act as appropriate, or the quotient of the representative unit cost in dollars per kilowatt-hour, as provided pursuant to section 323(b)(2) of the Act, divided by 3,412 Btu per kilowatt hour, the resulting product then being rounded off to the nearest 0.01 dollar per million Btu output; and

(ii) For unvented gas and oil heaters with an auxiliary electric system, the product of: (A) The quotient of one million divided by the rated output in Btu's per hour as determined in 3.4 of appendix G of this subpart; and (B) the sum of: (1) The product of the maximum fuel input in Btu's per hour as determined in 2.2. of this appendix times the representative unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (2) the product of the maximum auxiliary electric power in kilowatts as determined in 2.1 of appendix G of this subpart times the representative unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting quantity shall be rounded off to the nearest 0.01 dollar per million Btu output.

(4) The rated output for unvented heaters is the rated output as determined according to either sections 3.3 or 3.4 of appendix G of this subpart, as appropriate, with the result being rounded to the nearest 100 Btu per hour.

(5) Other useful measures of energy consumption for unvented home heating equipment shall be those measures of energy consumption for unvented home heating equipment which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix G of this subpart.

(h) Television sets. (1) The estimated average annual operating cost for television sets shall be the product of:

(i) The average annual energy consumed by the television set in kilowatt-hours per year, determined according to 3.0 of appendix H of this subpart, and

(ii) The representative average unit cost of energy in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(i) For color television sets, the product of the estimated minimum power requirement (.130 kilowatts) and the average annual hours of use (2,200 hr/yr.), divided by the average annual energy consumed by the television set in kilowatt-hours per year, determined according to 3.0 of appendix H to this subpart. The resultant is then multiplied by 100 and expressed as a percent.

(ii) For monochrome television sets, the product of the estimated minimum power requirement (.040 kilowatts) and the average annual hours of use (2,200 hr/yr.), divided by the average annual energy consumed by the television set in kilowatt-hours per year determined according to 3.0 of appendix H of this subpart. The result is then multiplied by 100 and expressed as a percent.

(3) Other useful measures of energy consumption for televison sets shall be those measures of energy consumption for television sets which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix H of this subpart.

(i) Kitchen ranges and ovens. (1) The estimated annual operating cost for conventional ranges, conventional cooking tops, conventional ovens, microwave ovens, and microwave/conventional ranges shall be the sum of the following products: (i) The total annual electrical energy consumption for any electrical energy usage, in kilowatt-hours (kWh's) per year, times the representative average unit cost for electricity, in dollars per kWh, as provided pursuant to section 323(b)(2) of the Act; plus (ii) the total annual gas energy consumption for any natural gas usage, in British thermal units (Btu's) per year, times the representative average unit cost for natural gas, in dollars per Btu, as provided pursuant to section 323(b)(2) of the Act; plus (iii) the total annual gas energy consumption for any propane usage, in Btu's per year, times the representative average unit cost for propane, in dollars per Btu, as provided pursuant to section 323(b)(2) of the Act. The total annual energy consumption for conventional ranges, conventional cooking tops, conventional ovens, microwave ovens, and microwave/conventional ranges shall be as determined according to 4.3.1, 4.2.2, 4.1.2.5 or 4.1.2.6, 4.4.3, and 4.5.1.3, respectively, of appendix I to this subpart. The estimated annual operating cost shall be rounded off to the nearest dollar per year, except for microwave ovens, for which the estimated annual operating cost shall be rounded off to the nearest one-quarter of a dollar per year.

(2) The cooking efficiency for conventional cooking tops, conventional ovens, and microwave ovens shall be the ratio of the cooking energy output for the test to the cooking energy input for the test, as determined according to 4.2.1.3, 4.1.3 and 4.4.2, respectively, of appendix I to this subpart. The final cooking efficiency values shall be rounded off to three significant digits.

(3) The cooking efficiency for conventional ranges, and microwave/conventional ranges shall be determined according to 4.3.2 and 4.5.2, respectively, of appendix I to this subpart, which weights the cooking efficiencies of the major cooking components of the range. The final cooking efficiency values shall be rounded off to three significant digits.

(4) The energy factor for conventional ranges, conventional cooking tops, conventional ovens, microwave ovens, and microwave/conventional ranges shall be the ratio of the annual useful cooking energy output to the total annual energy input, as determined according to 4.3.3, 4.2.3, 4.1.4, 4.4.4 and 4.5.3, respectively, of Appendix I to this subpart. The final energy factor values shall be rounded off to three significant digits.

(5) There shall be two estimated annual operating costs, two cooking efficiencies, and two energy factors for convertible cooking appliances—(i) an estimated annual operating cost, a cooking efficiency and an energy factor which represent values for those three measures of energy consumption for the operation of the appliance with natural gas; and (ii) an estimated annual operating cost, a cooking efficiency and an energy factor which represent values for those three measures of energy consumption for the operation of the appliance with LP-gas.

(6) The estimated annual operating cost for convertible cooking appliances which represents natural gas usage, as described in paragraph (i)(5)(i) of this section, shall be determined according to paragraph (i)(1) of this section using the total annual gas energy consumption for natural gas times the representative average unit cost for natural gas.

(7) The estimated annual operating cost for convertible cooking appliances which represents LP-gas usage, as described in paragraph (i)(5)(ii) of this section, shall be determined according to paragraph (i)(1) of this section using the representative average unit cost for propane times the total annual energy consumption of the test gas, either propane or natural gas.

(8) The cooking efficiency for convertible cooking appliances which represents natural gas usage, as described in paragraph (i)(5)(i) of this section, shall be determined according to paragraphs (i)(2) and (i)(3) of this section when the appliance is tested with natural gas.

(9) The cooking efficiency for convertible cooking appliances which represents LP-gas usage, as described in paragraph (i)(5)(ii) of this section, shall be determined according to paragraphs (i)(2) and (i)(3) of this section, when the appliance is tested with either natural gas or propane.

(10) The energy factor for convertible cooking appliances which represents natural gas usage, as described in paragraph (i)(5)(i) of this section, shall be determined according to paragraph (i)(4) of this section when the appliance is tested with natural gas.

(11) The energy factor for convertible cooking appliances which represents LP-gas usage, as described in paragraph (i)(5)(ii) of this section, shall be determined according to paragraph (i)(4) of this section when the appliance is tested with either natural gas or propane.

(12) Other useful measures of energy consumption for conventional ranges, conventional cooking tops, conventional ovens, microwave ovens and microwave/conventional ranges shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix I to this subpart.

(i) When electrically heated water is used, the product of the following three factors: (A) The representative average-use cycle of 416 cycles per year, (B) the total per-cycle energy consumption for the normal cycle in kilowatt-hours per cycle determined according to 4.6 of appendix J to this subpart, and (C) the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and

(ii) When gas-heated or oil-heated water is used, the product of: the representative average-use cycle of 416 cycles per year and the sum of both (A) the product of the per-cycle machine electrical energy consumption for the normal cycle in kilowatt-hours per cycle, determined according to 4.4 of appendix J to this subpart, and the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary and (B) the product of the per-cycle water energy consumption for gas-heated or oil-heated water for the normal cycle, in Btu per cycle, determined according to 4.5 of appendix J to this subpart, and the representative average unit cost in dollars per Btu for oil or gas, as appropriate, as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

(2) The energy factor for automatic and semi-automatic clothes washers shall be the quotient of the cubic foot capacity of the clothes container as determined in 3.1 of appendix J to this subpart divided by the clothes washer energy consumption per cycle, expressed as the sum of the machine electrical energy consumption and the maximum normal water energy consumption as determined in 4.4 and 4.3, respectively, of appendix J to this subpart. The resulting be rounded off to the nearest 0.01 cubic foot per kilowatt-hour.

(3) Other useful measures of energy consumption for automatic or semi-automatic clothes washers shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix J to this subpart.

(k)—(l) [Reserved]

(m) Central Air Conditioners. (1) The estimated annual operating cost for cooling-only units and air-source heat pumps shall be one of the following:

(i) For cooling-only units or the cooling portion of the estimated annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the cooling capacity, in Btu's per hour, determined from the steady-state wet-coil test (Test A) measured at the highest compressor speed, as described in section 3.1 of appendix M to this subpart, divided by the seasonal energy efficiency ratio, in Btu's per watt-hour, determined from section 5.1 of appendix M to this subpart; (B) the representative average use cycle for cooling of 1,000 hours per year; (C) a conversion factor of 0.001 kilowatt per watt; and (D) the representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year;

(ii) For air-source heat pumps which provide only heating or the heating portion of the estimated annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the standardized design heating requirement, in Btu's per hour, nearest to the capacity measured in the high temperature test, determined in sections 5.2 and 6.2.6 of appendix M to this subpart, divided by the heating seasonal performance factor, in Btu's per watt-hour, calculated for heating region IV corresponding to the above mentioned standardized design heating requirement determined from section 5.2 of appendix M to this subpart; (B) the representative average use cycle for heating of 2,080 hours per year; (C) the adjustment factor of 0.77 which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) a conversion factor of 0.001 kilowatt per watt; and (E) the representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year; or

(iii) For air-source heat pumps which provide both heating and cooling, the estimated annual operating cost is the sum of the quantity determined in paragraph (m)(1)(i) of this section added to the quantity determined in paragraph (m)(1)(ii) of this section.

(2) The estimated regional annual operating cost for cooling-only units and for air-source heat pumps shall be one of the following:

(i) For cooling-only units or the cooling portion of the estimated regional annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the cooling capacity, in Btu's per hour, determined from the steady-state wet-coil test (Test A) measured at the highest compressor speed, as described in section 3.1 of appendix M to this subpart, divided by the seasonal energy efficiency ratio, in Btu's per watt-hour, determined from section 5.1 of appendix M to this subpart; (B) the estimated number of regional cooling load hours per year determined from section 6.1.3 of appendix M to this subpart; (C) a conversion factor of 0.001 kilowatts per watt; and (D) the representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year;

(ii) For air-source heat pumps which provide only heating or the heating portion of the estimated regional annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the standardized design heating requirement, in Btu's per hour, nearest to the capacity measured in the high temperature test (Test A), determined in sections 5.2 and 6.2.6 of appendix M to this subpart, divided by the heating seasonal performance factor, in Btu's per watt-hour, calculated for the appropriate region of interest and corresponding to the above mentioned standardized design heating requirement determined from section 5.2 of appendix M to this subpart; (B) the estimated number of regional heating load hours per year determined from section 6.2.5 of appendix M to this subpart; (C) the adjustment factor of 0.77 which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) a conversion factor of 0.001 kilowatts per watt; and (E) the representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year; or

(iii) For air-source heat pumps which provide both heating and cooling, the estimated regional annual operating cost is the sum of the quantity determined in paragraph (m)(3)(i) of this section added to the quantity determined in paragraph (m)(3)(ii) of this section.

(3) The measure(s) of efficiency for cooling-only units and air-source heat pumps shall be one or more of the following:

(i) The seasonal energy efficiency ratio for cooling-only units and air-source heat pumps which provide cooling shall be the seasonal energy efficiency ratio, in Btu's per watt-hour, determined according to section 5.1 of appendix M to this subpart, rounded off to the nearest 0.05.

(ii) The heating seasonal performance factors for air-source heat pumps shall be the heating seasonal performance factors, in Btu's per watt-hour, determined according to section 5.2 of appendix M to this subpart for each applicable standardized design heating requirement within each climatic region, rounded off to the nearest 0.05.

(iii) The annual performance factors for air-source heat pumps which provide heating and cooling, shall be the annual performance factors, in Btu's per watt-hour, determined according to section 5.3 of appendix M to this subpart for each standardized design heating requirement within each climatic region, rounded off to the nearest 0.05.

(4) Other useful measures of energy consumption for central air conditioners shall be those measures of energy consumption which the Secretary of Energy determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix M to this subpart.

(5) After September 12, 1988, all measures of energy consumption shall be determined by the test method as set forth in appendix M to this subpart; or by an alternate rating method set forth in § 430.23(m)(4) as approved by the Assistant Secretary for Conservation and Renewable Energy in accordance with § 430.23(m)(5).

(n) Furnaces. (1) The estimated annual operating cost for furnaces is the sum of: (i) The product of the average annual fuel energy consumption, in Btu's per year for gas or oil furnaces or in kilowatt-hours per year for electric furnaces, determined according to section 4.8 or 4.10 of appendix N of this subpart, respectively, and the representative average unit cost in dollars per Btu for gas or oil, or dollars per kilowatt-hour for electric, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (ii) the product of the average annual auxiliary electric energy consumption in kilowatt-hours per year determined according to section 4.9 of appendix N of this subpart, and the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting sum then being rounded off to the nearest dollar per year. (For furnaces which operate with variable inputs, an estimated annual operating cost is to be calculated for each degree of oversizing specified in section 4 of appendix N of this subpart.)

(2) The annual fuel utilization efficiency for furnaces, expressed in percent, is the ratio of annual fuel output of useful energy delivered to the heated space to the annual fuel energy input to the furnace determined according to section 4.6 of appendix N of this subpart for gas and oil furnaces and determined in accordance with section 4.1 of appendix N of this subpart for electric furnaces.

(3) The estimated regional annual operating cost for furnaces is the sum of: (i) The product of the regional annual fuel energy consumption in Btu's per year for gas or oil furnaces or in kilowatt-hours per year for electric furnaces, determined according to section 4.11 or 4.13 of appendix N of this subpart, respectively, and the representative average unit cost in dollars per Btu for gas or oil, or dollars per kilowatt-hour for electric, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (ii) the product of the regional annual auxiliary electrical energy consumption in kilowatt-hours per year, determined according to section 4.12 of appendix N of this subpart, and the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting sum then being rounded off to the nearest dollar per year.

(4) The energy factor for furnaces, expressed in percent, is the ratio of annual fuel output of useful energy delivered to the heated space to the total annual energy input to the furnace determined according to section 4.14 of appendix N of this subpart.

(5) Other useful measures of energy consumption for furnaces shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix N of this subpart.

(o) Vented home heating equipment.

(1) The annual fuel utilization efficiency for vented home heating equipment, expressed in percent, which is the ratio of the annual fuel output of useful energy delivered to the heated space to the annual fuel energy input to the vented heater, shall be determined either according to section 4.1.17 of appendix O of this subpart for vented heaters without either manual controls or thermal stack dampers; according to section 4.2.6 of appendix O of this subpart for vented heaters equipped with manual controls; or according to section 4.3.7 of appendix O of this subpart for vented heaters equipped with thermal stack dampers.

(2) The estimated operating cost per million Btu output for vented heaters without an auxiliary electric system shall be the product of: (i) One hundred; (ii) the quotient of one million Btu output divided by the annual fuel utilization efficiency as determined in paragraph (o) (1) and (iii) the representative unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act, the resulting product shall be rounded to the nearest 0.01 dollar per million Btu output.

(3) The estimated operating cost per million Btu output for gas or oil vented home heating equipment with an auxiliary electric system shall be the product of: (A) The quotient of one million Btu divided by the sum of: (1) The product of the maximum fuel input in Btu's per hour as determined in 3.1.1 or 3.1.2 of appendix 0 of this subpart times the annual fuel utilization efficiency in percent as determined in 4.1.17, 4.2.6, or 4.3.7 of this appendix as appropriate divided by 100, plus (2) the product of the maximum electric power in watts as determined in 3.1.3 of appendix 0 of this subpart times the quantity 3.412; and (B) of the sum of: (1) the product of the maximum fuel input in Btu's per hour as determined in 3.1.1 of this appendix times the representative unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act; plus (2) the product of the maximum auxiliary electric power in kilowatts as determined in 3.1.3 of appendix O of this subpart times the representative unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting quantity shall be rounded off to the nearest 0.01 dollar per million Btu output.

(4) Other useful measures of energy consumption for vented home heating equipment shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix O of this subpart.

(2) The thermal efficiency of pool heaters, expressed as a percent, shall be determined in accordance with section 4 of appendix P to this subpart.

(q) Fluorescent Lamp Ballasts. (1) The Estimated Annual Energy Consumption (EAEC) for fluorescent lamp ballasts, expressed in kilowatt-hours per year, shall be the product of: (i) The input power in kilowatts as determined in accordance with section 3.3.1 of appendix Q to this subpart and (ii) the representative average use cycle of 1,000 hours per year, the resulting product then being rounded off to the nearest kilowatt-hour per year.

(2) Ballast Efficacy Factor (BEF) shall be as determined in section 4.2 of appendix Q of this subpart.

(3) The Estimated Annual Operating Cost (EAOC) for fluorescent lamp ballasts, expressed in dollars per year, shall be the product of: (i) The representative average unit energy cost of electricity in dollars per kilowatt-hour as provided by the Secretary, (ii) the representative average use cycle of 1,000 hours per year, and (iii) the input power in kilowatts as determined in accordance with section 3.3.1 of appendix Q to this subpart, the resulting product then being rounded off to the nearest dollar per year.

(4) Other useful measures which may be applicable. [Reserved]

(r) General Service Fluorescent Lamps and General Service Incandescent Lamps. (1) The Estimated Annual Energy Consumption for lamps defined in § 430.2, expressed in kilowatt-hours per year, shall be the product of:

(i) The input power in kilowatts as determined in accordance with section 4 of Appendix R to this subpart and

(ii) The representative average use cycle of 1,000 hours per year, the resulting product then being rounded off to the nearest kilowatt-hour per year.

(2) The Lamp Efficacy for general service fluorescent lamps and medium base compact fluorescent lamps defined in section 430.2 shall be the quotient of the average lumen output and the average lamp wattage as determined in section 4 of Appendix R of this subpart with the resulting quotient rounded off to the nearest lumen per watt.

(3) The Lamp Efficacy for general service incandescent lamps and incandescent reflector lamps shall be the quotient of the average lumen output and the average lamp wattage as determined in section 4 of Appendix R of this subpart with the resulting quotient rounded off to the nearest tenth of a lumen per watt.

(4) The Estimated Annual Operating Cost for lamps defined in § 430.2, expressed in dollars per year, shall be the product of: (i) The representative average unit energy cost of electricity in dollars per kilowatt-hour as provided by the Secretary, (ii) The representative average use cycle of 1,000 hours per year, and (iii) The input power in kilowatts as determined in accordance with section 4 of Appendix R to this subpart, the resulting product then being rounded off to the nearest dollar per year.

(5) The Color Rendering Index of a general service fluorescent lamp shall be tested and determined in accordance with section 4.5 of Appendix R of this subpart and rounded off to the nearest unit.

[42 FR 27898, June 1, 1977]Editorial Note:

For Federal Register citations affecting § 430.23, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 430.24Units to be tested.

When testing of a covered product is required to comply with section 323(c) of the Act, or to comply with rules prescribed under sections 324 or 325 of the Act, a sample shall be selected and tested comprised of units which are production units, or are representative of production units of the basic model being tested, and shall meet the following applicable criteria.

(a)(1) For each basic model 1of electric refrigerators and electric refrigerator-freezers, a sample of sufficient size shall be tested to insure that—

1 Components of similar design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable sampling provision.

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 95 percent confidence limit of the true mean divided by 1.10, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumer would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 95 percent confidence limit of the true mean divided by .90.

(b)(1) For each basic model 1 of freezers, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 95 percent confidence limit of the true mean divided by 1.10, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 95 percent confidence limit of the true mean divided by .90.

(c)(1) For each basic model 1 of dishwashers, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(d)(1) For each basic model 1 of clothes dryers a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(e)(1) For each basic model 1 of water heaters, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 95 percent confidence limit of the true mean divided by 1.10, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 95 percent confidence limit of the true mean divided by .90.

(f)(1) For each basic model 1 of room air conditioners, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the energy efficiency ratio or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(g)(1) For each basic model 1of unvented home heating equipment (not including furnaces), a sample of sufficient size shall be tested to insure that—

1 Components of similar design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable sampling provision.

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.075, and

(ii) Any represented value of the annual fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be not greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .925.

(h)(1) For each basic model 1 of television sets, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(i)(1) Except as provided in paragraph (i)(2) of this section, for each basic model 1 of conventional cooking tops, conventional ovens and microwave ovens a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(2) Basic models need not be tested which differ from other tested basic models by only the design of oven doors the use of which leads to improved efficiency and decreased energy consumption and estimated annual operating cost. Any represented values of measures of energy consumption for basic models not tested shall be the same as for the tested basic model.

(j)(1) For each basic model 1 of clothes washers, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(k)—(l) [Reserved]

(m)(1) For central air conditioners, each condensing unit shall have a condenser-evaporator coil combination selected and a sample of sufficient size tested in accordance with applicable provisions of this subpart such that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of the condenser-evaporator coil combination for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 90 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the energy efficiency or other measure of energy consumption of the condenser-evaporator coil combination for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 90 percent confidence limit of the true mean divided by 0.95.

(2) The condenser-evaporator coil combination selected for tests pursuant to paragraph (m)(1) of this section shall be that combination manufactured by the condensing unit manufacturer likely to have the largest volume of retail sales. Components of similar design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable sampling provisions of paragraphs (m)(1)(i) and (m)(1)(ii) of this section. For every other condenser-evaporator coil combination manufactured by the same manufacturer or in part by a component manufacturer using that same condensing unit, either—

(i) A sample of sufficient size, comprised of production units or representing production units, shall be tested to ensure that the requirements of paragraphs (m)(1)(i) and (m)(1)(ii) of this section are met for such other condenser-evaporator coil combinations; or

(ii) The representative values of the measures of energy consumption shall be based on an alternative rating method that has been approved by DOE in accordance with the provisions of paragraphs (m)(4) and (m)(5) of this section.

(3) Whenever the representative values of the measures of energy consumption, as determined by the provisions of paragraph (m)(2)(ii) of this section, do not agree within five percent of the representative values of the measures of energy consumption as determined by actual testing, the representative values determined by actual testing shall be used to comply with section 323(c) of the Act, or to comply with rules prescribed under section 324 of the Act.

(4) The basis of the alternative rating method referred to in paragraph (m)(2)(ii) of this section shall be a representation of the test data and calculations of a mechanical vapor compression refrigeration cycle. The major components in the refrigeration cycle shall be modeled as “fits” to manufacturer performance data or by graphic or tabular performance data. Heat transfer characteristics of coils may be modeled as a function of face area, number of rows, fins per inch, refrigerant circuitry, air flow rate and entering air enthalpy. Additional performance-related characteristics to be considered may include type of expansion device, refrigerant flow rate through the expansion device, power of the indoor fan and degradation coefficient.

(5) Manufacturers who elect to use an alternative rating method for determining measures of energy consumption under paragraphs (m)(2)(ii) and (m)(4) of this section must submit a request to DOE for reviewing the alternative rating method to the Assistant Secretary of Conservation and Renewable Energy, 1000 Independence Avenue, SW., Washington, DC 20585, and receive approval to use the alternative method by the Assistant Secretary before the alternative method may be used for rating central air conditioners.

(6) Each request to DOE for reviewing an alternative rating method shall include:

(i) The name, address and telephone number of the official representing the manufacturer.

(ii) Complete documentation of the alternative rating procedure, including the computer code when a computer model is used.

(iii) Test data for two coils from two different coil families for two different condensing units. The tested capacities for the matched systems for the two condensing units shall differ by at least a factor of two. Rating information for the mixed systems shall include the ratings from testing, and from the alternative rating method.

(7) Manufacturers that elect to use an alternative rating method for determining measures of energy consumption under paragraphs (m)(2)(ii) and (m)(4) of this section must either subject a sample of their units to independent testing on a regular basis, e.g., voluntary certification program, or have the representations reviewed and certified by an independent state-registered professional engineer who is not an employee of the manufacturer. The registered professional engineer is to certify that the results of the alternative rating procedure accurately represent the energy consumption of the unit(s). The manufacturer is to keep the registered professional engineer's certifications on file for review by DOE for as long as said combination is made available for sale by the manufacturer. Any change to be made to the alternative rating method, must be approved by DOE prior to its use for rating.

(8) Manufacturers who choose to use computer simulation or engineering analysis for determining measures of energy consumption under paragraphs (m)(2)(ii) and (m)(5) of this section shall permit representatives of the Department of Energy to inspect for verification purposes the simulation method or methods used. This inspection may include conducting simulations to predict the performance of particular condenser-evaporator coil combinations specified by DOE, analysis of previous simulations conducted by a manufacturer, or both.

(n)(1) For each basic model1 of furnaces, other than basic models of those sectional cast-iron boilers which may be aggregated into groups having identical intermediate sections and combustion chambers, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample, or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the annual fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample, or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(2) For the lowest capacity basic model 1 of a group of basic models of those sectional cast-iron boilers having identical intermediate sections and combustion chambers, a sample of sufficient size shall be tested to insure that—

1 Components of similar design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable sampling provision.

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample, or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample, or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(3) For the highest capacity basic model1 of a group of basic models of those sectional cast-iron boilers having identical intermediate sections and combustion chambers, a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values be no less than the higher of (A) the mean of the sample, or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample, or (B) the lower 971/2 percent confidence limit of the true mean divided by .05.

(4) For basic model1 or capacity other than the highest or lowest of the group of basic models 1 of sectional cast-iron boilers having identical intermediate sections and combustion chambers, represented values of measures of energy consumption shall be determined by either—

(i) A linear interpolation of data obtained for the smallest and largest capacity units of the family, or

(ii) Testing a sample of sufficient size to insure that (A) any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (1) the mean of the sample, or (2) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and (B) any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (1) the mean of the sample, or (2) the lower 971/2 percent confidence limit of the true mean divided by .95.

(5) Whenever measures of energy consumption determined by linear interpolation do not agree with measures of energy consumption determined by actual testing, the values determined by testing will be assumed to be the more reliable values.

(6) In calculating the measures of energy consumption for each unit tested, use the design heating requirement corresponding to the mean of the capacities of the units of the sample.

(o)(1) For each basic model 1 of vented home heating equipment (not including furnaces) a sample of sufficient size shall be tested to insure that—

(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 971/2 percent confidence limit of the true mean divided by 1.05, and

(ii) Any represented value of the fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(2) In calculating the measures of energy consumption for each unit tested use the design heating requirement corresponding to the mean of the capacities of the units of the sample.

(p)(1) For each basic model 1 of pool heater a sample of sufficient size shall be tested to insure that—

1 Components of similar design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable sampling provision.

(i) [Reserved]

(ii) Any represented value of the fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 971/2 percent confidence limit of the true mean divided by .95.

(q)(1) For each basic model of fluorescent lamp ballasts, as defined in paragraph (14) of § 430.2, a sample of sufficient size, no less than four, shall be tested to insure that—

(i) Any represented value of estimated annual energy operating costs, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 99 percent confidence limit of the true mean divided by 1.01, and

(ii) Any represented value of the ballast efficacy factor or other measure of the energy consumption of a basic model for which consumers would favor a higher value shall be no greater than the lower of (A) the mean of the sample or (B) the lower 99 percent confidence limit of the true mean divided by 0.99.

(r)(1) For each basic model of general service fluorescent lamp and general service incandescent lamp as those terms are defined in paragraphs (15) and (16) of the definition for “basic model” in § 430.2, samples of production lamps shall be tested and the results for all samples shall be averaged for a 12-month period. A minimum sample of 20 lamps shall be tested. The manufacturer shall randomly select 3 lamps from each month of production for 7 out of the 12 months required for the average. In the instance where a basic model of general service fluorescent lamp or general service incandescent lamp has been manufactured for less than 7 of the preceding 12 months, the number of lamps selected shall be divided as evenly as possible among the months of production to attain a minimum sample of 20 lamps. The lamp efficacy of the sample lamps shall be the quotient of the average of the lumen output and watts input measurements to insure that any represented value of lamp efficacy or other measure of the energy consumption of a basic model for which consumers would favor a higher value shall be no greater than the lower of (i) The mean of the sample or (ii) The lower 99 percent confidence limit of the true mean divided by 0.99.

(2) For each basic model of general service fluorescent lamp except for medium base compact fluorescent lamps, as defined in paragraph (15) of § 430.2, random samples of production lamps from 12 months of production shall be selected for testing the Color Rendering Index (CRI). The CRI shall be represented as the average of a minimum sample of 20 lamps from the same production lots which were chosen for measurement in § 430.24(r)(1), i.e., the manufacturer shall measure all lamps for lumens, watts input, and CRI. The 20 CRI measurements shall be averaged to insure that any represented value of CRI of a basic model for which consumers would favor a higher value shall be no greater than the lower of (i) The mean of the sample or (ii) The lower 99 percent confidence limit of the true mean divided by 0.99.

(a) To comply with the testing requirements in section 323(b) of the Act, test procedures for certain products given below shall be carried out by accredited test laboratories. The accrediting body shall be the National Voluntary Laboratory Accreditation Program (NVLAP) or a foreign organization recognized by NVLAP. NVLAP is under the auspices of the National Institute of Standards and Technology which is part of the U.S. Department of Commerce. NVLAP accreditation is granted on the basis of conformance with criteria published in 15 CFR part 285 “The National Voluntary Laboratory Accreditation Program Procedures and General Requirements.”

(b) The test procedures for general service fluorescent lamps, general service incandescent lamps, incandescent reflector lamps, and medium base compact fluorescent lamps, as specified in Appendix R to this subpart, shall be conducted by test laboratories accredited by NVLAP or an accrediting organization recognized by NVLAP. NVLAP standards for lamps and luminaires are given in handbook 150-01, “Energy Efficient Lighting Products, Lamps and Luminaires,” August 1993. A manufacturer's or importer's own laboratory, if accredited, may conduct the applicable test procedures.

(a)(1) Any interested person may submit a petition to waive for a particular basic model any requirements of § 430.22, or of any appendix to this subpart, upon the grounds that the basic model contains one or more design characteristics which either prevent testing of the basic model according to the prescribed test procedures, or the prescribed test procedures may evaluate the basic model in a manner so unrepresentative of its true energy consumption characteristics as to provide materially inaccurate comparative data.

(2) Any interested person who has submitted a Petition for Waiver as provided in this subpart may also file an Application for Interim Waiver of the applicable test procedure requirements.

(b)(1) A Petition for Waiver shall be submitted, in triplicate, to the Assistant Secretary for Conservation and Renewable Energy, United States Department of Energy. Each Petition for Waiver shall:

(i) Identify the particular basic model(s) for which a waiver is requested, the design characteristic(s) constituting the grounds for the petition, and the specific requirements sought to be waived and shall discuss in detail the need for the requested waiver;

(ii) Identify manufacturers of all other basic models marketed in the United States and known to the petitioner to incorporate similar design characteristic(s);

(iii) Include any alternate test procedures known to the petitioner to evaluate in a manner representative of the energy consumption characteristics of the basic model; and

(iv) Be signed by the petitioner or by an authorized representative. In accordance with the provisions set forth in 10 CFR 1004.11, any request for confidential treatment of any information contained in a Petition for Waiver or in supporting documentation must be accompanied by a copy of the petition, application or supporting documentation from which the information claimed to be confidential has been deleted. DOE shall publish in the Federal Register the petition and supporting documents from which confidential information, as determined by DOE, has been deleted in accordance with 10 CFR 1004.11 and shall solicit comments, data and information with respect to the determination of the petition. Any person submitting written comments to DOE with the respect to a Petition for Waiver shall also send a copy of such comments to the petitioner. In accordance with paragraph (i) of this section, a petitioner may submit a rebuttal statement to the Assistant Secretary for Conservation and Renewable Energy.

(2) An Application for Interim Waiver shall be submitted in triplicate, with the required three copies of the Petition for Waiver, to the Assistant Secretary for Conservation and Renewable Energy, U.S. Department of Energy. Each Application for Interim Waiver shall reference the Petition for Waiver by identifying the particular basic model(s) for which a waiver and temporary exception are being sought. Each Application for Interim Waiver shall demonstrate likely success of the Petition for Waiver and shall address what economic hardship and/or competitive disadvantage is likely to result absent a favorable determination on the Application for Interim Waiver. Each Application for Interim Waiver shall be signed by the applicant or by an authorized representative.

(c)(1) Each petitioner, after filing a Petition for Waiver with DOE, and after the Petition for Waiver has been published in the Federal Register, shall, within five working days of such publication, notify in writing all known manufacturers of domestically marketed units of the same product type (as listed in section 322(a) of the Act) and shall include in the notice a statement that DOE has published in the Federal Register on a certain date the Petition for Waiver and supporting documents from which confidential information, if any, as determined by DOE, has been deleted in accordance with 10 CFR 1004.11. Each petitioner, in complying with the requirements of this paragraph, shall file with DOE a statement certifying the names and addresses of each person to whom a notice of the Petition for Waiver has been sent.

(2) Each applicant for Interim Waiver, whether filing jointly with, or subsequent to, a Petition for Waiver with DOE, shall concurrently notify in writing all known manufacturers of domestically marketed units of the same product type (as listed in Section 322(a) of the Act) and shall include in the notice a copy of the Petition for Waiver and a copy of the Application for Interim Waiver. In complying with this section, each applicant shall in the written notification include a statement that the Assistant Secretary for Conservation and Renewable Energy will receive and consider timely written comments on the Application for Interim Waiver. Each applicant, upon filing an Application for Interim Waiver, shall in complying with the requirements of this paragraph certify to DOE that a copy of these documents have been sent to all known manufacturers of domestically marked units of the same product type (as listed in section 322(a) of the Act). Such certification shall include the names and addresses of such persons. Each applicant also shall comply with the provisions of paragraph (c)(1) of this section with respect to the petition for waiver.

(d) Any person submitting written comments to DOE with respect to an Application for Interim Waiver shall also send a copy of the comments to the applicant.

(e) If administratively feasible, applicant shall be notified in writing of the disposition of the Application for Interim Waiver within 15 business days of receipt of the application. Notice of DOE's determination on the Application for Interim Waiver shall be published in the Federal Register.

(f) The filing of an Application for Interim Waiver shall not constitute grounds for noncompliance with any requirements of this subpart, until an Interim Waiver has been granted.

(g) An Interim Waiver from test procedure requirements will be granted by the Assistant Secretary for Conservation and Renewable Energy if it is determined that the applicant will experience economic hardship if the Application for Interim Waiver is denied, if it appears likely that the Petition for Waiver will be granted, and/or the Assistant Secretary determines that it would be desirable for public policy reasons to grant immediate relief pending a determination on the Petition for Waiver.

(h) An interim waiver will terminate 180 days after issuance or upon the determination on the Petition for Waiver, whichever occurs first. An interim waiver may be extended by DOE for 180 days. Notice of such extension and/or any modification of the terms or duration of the interim waiver shall be published in the Federal Register, and shall be based on relevant information contained in the record and any comments received subsequent to issuance of the interim waiver.

(i) Following publication of the Petition for Waiver in the Federal Register, a petitioner may, within 10 working days of receipt of a copy of any comments submitted in accordance with paragraph (b)(1) of this section, submit a rebuttal statement to the Assistant Secretary for Conservation and Renewable Energy. A petitioner may rebut more than one response in a single rebuttal statement.

(j) The petitioner shall be notified in writing as soon as practicable of the disposition of each Petition for Waiver. The Assistant Secretary for Conservation and Renewable Energy shall issue a decision on the petition as soon as is practicable following receipt and review of the Petition for Waiver and other applicable documents, including, but not limited to, comments and rebuttal statements.

(k) The filing of a Petition for Waiver shall not constitute grounds for noncompliance with any requirements of this subpart, until a waiver or interim waiver has been granted.

(l) Waivers will be granted by the Assistant Secretary for Conservation and Renewable Energy, if it is determined that the basic model for which the waiver was requested contains a design characteristic which either prevents testing of the basic model according to the prescribed test procedures, or the prescribed test procedures may evaluate the basic model in a manner so unrepresentative of its true energy consumption characteristics as to provide materially inaccurate comparative data. Waivers may be granted subject to conditions, which may include adherence to alternate test procedures specified by the Assistant Secretary for Conservation and Renewable Energy. The Assistant Secretary shall consult with the Federal Trade Commission prior to granting any waiver, and shall promptly publish in the Federal Register notice of each waiver granted or denied, and any limiting conditions of each waiver granted.

(m) Within one year of the granting of any waiver, the Department of Energy will publish in the Federal Register a notice of proposed rulemaking to amend its regulations so as to eliminate any need for the continuation of such waiver. As soon thereafter as practicable, the Department of Energy will publish in the Federal Register a final rule. Such waiver will terminate on the effective date of such final rule.

(n) In order to exhaust administrative remedies, any person aggrieved by an action under this section must file an appeal with the DOE's Office of Hearings and Appeals as provided in 10 CFR part 1003, subpart C.

1.1“HRF-1-1979” means the Association of Home Appliance Manufacturers standard for household refrigerators, combination refrigerator-freezers, and household freezers, also approved as an American National Standard as a revision of ANSI B 38.1-1970.

1.2“Adjusted total volume” means the sum of (i) the fresh food compartment volume as defined in HRF-1-1979 in cubic feet, and (ii) the product of an adjustment factor and the net freezer compartment volume as defined in HRF-1-1979, in cubic feet.

1.3“Anti-sweat heater” means a device incorporated into the design of a refrigerator or refrigerator-freezer to prevent the accumulation of moisture on exterior surfaces of the cabinet under conditions of high ambient humidity.

1.4“All-refrigerator” means an electric refrigerator which does not include a compartment for the freezing and long time storage of food at temperatures below 32° F. (0.0° C.). It may include a compartment of 0.50 cubic feet capacity (14.2 liters) or less for the freezing and storage of ice.

1.5“Cycle” means the period of 24 hours for which the energy use of an electric refrigerator or electric refrigerator-freezer is calculated as though the consumer activated compartment temperature controls were set so that the desired compartment temperatures were maintained.

1.6“Cycle type” means the set of test conditions having the calculated effect of operating an electric refrigerator or electric refrigerator-freezer for a period of 24 hours, with the consumer activated controls other than those that control compartment temperatures set to establish various operating characteristics.

1.7“Standard cycle” means the cycle type in which the anti-sweat heater control, when provided, is set in the highest energy consuming position.

1.8“Automatic defrost” means a system in which the defrost cycle is automatically initiated and terminated, with resumption of normal refrigeration at the conclusion of the defrost operation. The system automatically prevents the permanent formation of frost on all refrigerated surfaces. Nominal refrigerated food temperatures are maintained during the operation of the automatic defrost system.

1.9“Long-time Automatic Defrost” means an automatic defrost system where successive defrost cycles are separated by 14 hours or more of compressor-operating time.

1.10“Stabilization Period” means the total period of time during which steady-state conditions are being attained or evaluated.

1.11“Variable defrost control” means a long-time automatic defrost system (except the 14-hour defrost qualification does not apply) where successive defrost cycles are determined by an operating condition variable or variables other than solely compressor operating time. This includes any electrical or mechanical device. Demand defrost is a type of variable defrost control.

2. Test Conditions

2.1Ambient temperature. The ambient temperature shall be 90.0 ± 1° F. (32.3±0.6° C.) during the stabilization period and during the test period. The ambient temperature shall be 80±2°F dry bulb and 67°F wet bulb during the stabilization period and during the test period when the unit is tested in accordance with section 3.3.

2.2Operational conditions. The electric refrigerator or electric refrigerator-freezer shall be installed and its operating conditions maintained in accordance with HRF-1-1979, section 7.2 through section 7.4.3.3, except that the vertical ambient temperature gradient at locations 10 inches (25.4 cm) out from the centers of the two sides of the unit being tested is to be maintained during the test. Unless the area is obstructed by shields or baffles, the gradient is to be maintained from 2 inches (5.1 cm) above the floor or supporting platform to a height one foot (30.5 cm) above the unit under test. Defrost controls are to be operative and the anti-sweat heater switch is to be “on” during one test and “off” during a second test. Other exceptions are noted in 2.3, 2.4, and 5.1 below.

2.3Conditions for automatic defrost refrigerator-freezers. For automatic defrost refrigerator-freezers, the freezer compartments shall not be loaded with any frozen food packages. Cylindrical metallic masses of dimensions 1.12±0.25 inches (2.9±0.6 cm) in diameter and height shall be attached in good thermal contact with each temperature sensor within the refrigerated compartments. All temperature measuring sensor masses shall be supported by nonthermally conductive supports in such a manner that there will be at least one inch (2.5 cm) of air space separating the thermal mass from contact with any surface. In case of interference with hardware at the sensor locations specified in section 5.1, the sensors shall be placed at the nearest adjacent location such that there will be a one inch air space separating the sensor mass from the hardware.

2.4Conditions for all-refrigerators. There shall be no load in the freezer compartment during the test.

2.5Steady State Condition. Steady state conditions exist if the temperature measurements in all measured compartments taken at four minute intervals or less during a stabilization period are not changing at a rate greater than 0.042° F. (0.023° C.) per hour as determined by the applicable condition of A or B.

A. The average of the measurements during a two hour period if no cycling occurs or during a number of complete repetitive compressor cycles through a period of no less than two hours is compare to the average over an equivalent time period with three hours elapsed between the two measurement periods.

B. If A above cannot be used, the average of the measurements during a number of complete repetitive compressor cycles through a period of no less than two hours and including the last complete cycle prior to a defrost period, or if no cycling occurs, the average of the measurements during the last two hours prior to a defrost period; are compared to the same averaging period prior to the following defrost period.

3. Test Control Settings

3.1Model with no user operable temperature control. A test shall be performed during which the compartment temperatures and energy use shall be measured. A second test shall be performed with the temperature control electrically short circuited to cause the compressor to run continuously.

3.2Model with user operable temperature control. Testing shall be performed in accordance with one of the following sections using the standardized temperatures of:

Variable defrost control models: 5° F (−15° C) freezer compartment temperature and 38±2° F fresh food compartment temperature during steady-state conditions with no door-openings. If both settings cannot be obtained, then test with the fresh food compartment temperature at 38±2° F and the freezer compartment as close to 5° F as possible.

3.2.1A first test shall be performed with all compartment temperature controls set at their median position midway between their warmest and coldest settings. Knob detents shall be mechanically defeated if necessary to attain a median setting. A second test shall be performed with all controls set at either their warmest or their coldest setting (not electrically or mechanically bypassed), whichever is appropriate, to attempt to achieve compartment temperatures measured during the two tests which bound (i.e., one is above and one is below) the standardized temperature for the type of product being tested. If the compartment temperatures measured during these two tests bound the appropriate standardized temperature, then these test results shall be used to determine energy consumption. If the compartment temperature measured with all controls set at their coldest setting is above the standardized temperature, a third test shall be performed with all controls set at their warmest setting and the result of this test shall be used with the result of the test performed with all controls set at their coldest setting to determine energy consumption. If the compartment temperature measured with all controls set at their warmest setting is below the standardized temperature; and the fresh food compartment temperature is below 45° F. (7.22° C.) in the case of a refrigerator or a refrigerator-freezer, excluding an all-refrigerator, then the result of this test alone will be used to determine energy consumption.

3.2.2Alternatively, a first test may be performed with all temperature controls set at their warmest setting. If the compartment temperature is below the appropriate standardized temperature, and the fresh food compartment temperature is below 45° F. (7.22° C.) in the case of a refrigerator or a refrigerator-freezer, excluding an all-refrigerator, then the result of this test alone will be used to determine energy consumption. If the above conditions are not met, then the unit shall be tested in accordance with 3.2.1 above.

3.2.3Alternatively, a first test may be performed with all temperature controls set at their coldest setting. If the compartment temperature is above the appropriate standardized temperature, a second test shall be performed with all controls set at their warmest control setting and the results of these two tests shall be used to determine energy consumption. If the above condition is not met, then the unit shall be tested in accordance with 3.2.1 above.

3.3Variable defrost control optional test. After a steady-state condition is achieved, the optional test requires door-openings for 12±2 seconds every 60 minutes on the fresh food compartment door and a simultaneous 12±2 second freezer compartment door-opening occurring every 4th time, to obtain 24 fresh food and six freezer compartment door-openings per 24-hour period. The first freezer door-opening shall be simultaneous with the fourth fresh food door-opening. The doors are to be opened 60° to 90° with an average velocity for the leading edge of the door of approximately 2 ft./sec. Prior to the initiation of the door-opening sequence, the refrigerator defrost control mechanism may be re-initiated in order to minimize the test duration.

4. Test Period

4.1Test Period. Tests shall be performed by establishing the conditions set forth in Section 2, and using control settings as set forth in Section 3, above.

4.1.1Nonautomatic Defrost. If the model being tested has no automatic defrost system, the test time period shall start after steady state conditions have been achieved and be of not less than three hours in duration. During the test period, the compressor motor shall complete two or more whole compressor cycles (a compressor cycle is a complete “on” and a complete “off” period of the motor). If no “off” cycling will occur, as determined during the stabilization period, the test period shall be three hours. If incomplete cycling (less than two compressor cycles) occurs during a 24 hour period, the results of the 24 hour period shall be used.

4.1.2Automatic Defrost. If the model being tested has an automatic defrost system, the test time period shall start after steady state conditions have been achieved and be from one point during a defrost period to the same point during the next defrost period. If the model being tested has a long-time automatic defrost system, the alternative provisions of 4.1.2.1 may be used.If the model being tested has a variable defrost control, the provisions of section 4.1.2.2 or 4.1.2.3 shall apply. If the model has a dual compressor system the provisions of 4.1.2.4 shall apply.

4.1.2.1 Long-time Automatic Defrost. If the model being tested has a long-time automatic defrost system, the test time period may consist of two parts. A first part would be the same as the test for a unit having no defrost provisions (section 4.1.1). The second part would start when a defrost period is initiated during a compressor “on” cycle and terminate at the second turn “on” of the compressor motor or after four hours, whichever comes first.

4.1.2.2Variable defrost control. If the model being tested has a variable defrost control system, the test shall consist of three parts. Two parts shall be the same as the test for long-time automatic defrost (section 4.1.2.1). The third part is the optional test to determine the time between defrosts (section 5.2.1.3). The third part is used by manufacturers that choose not to accept the default value of F of 0.20, to calculate CT.

4.1.2.3Variable defrost control optional test. After steady-state conditions with no door openings are achieved in accordance with section 3.3 above, the test is continued using the above daily door-opening sequence until stabilized operation is achieved. Stabilization is defined as a minimum of three consecutive defrost cycles with times between defrosts that will allow the calculation of a Mean Time Between Defrosts (MTBD1) that satisfies the statistical relationship of 90 percent confidence. The test is repeated on at least one more unit of the model and until the Mean Time Between Defrosts for the multiple unit tests (MTBD2) satisfies the statistical relationship. If the time between defrosts is greater than 96 hours (compressor “on” time) and this defrost period can be repeated on a second unit, the test may be terminated at 96 hours (CT) and the absolute time value used for MTBD for each unit.

4.1.2.4Dual compressor systems with automatic defrost. If the model being tested has separate compressor systems for the refrigerator and freezer sections, each with its own automatic defrost system, then the two-part method in 4.1.2.1 shall be used. The second part of the method will be conducted separately for each automatic defrost system. The auxiliary components (fan motors, anti-sweat heaters, etc.) will be identified for each system and the energy consumption measured during each test.

5. Test Measurements

5.1Temperature Measurements. Temperature measurements shall be made at the locations prescribed in Figures 7.1 and 7.2 of HRF-1-1979 and shall be accurate to within ± 0.5° F. (0.3° C.) of true value. No freezer temperature measurements need be taken in an all-refrigerator model.

If the interior arrangements of the cabinet do not conform with those shown in Figure 7.1 and 7.2 of HRF-1-1979, measurements shall be taken at selected locations chosen to represent approximately the entire refrigerated compartment. The locations selected shall be a matter of record.

5.1.1Measured Temperature. The measured temperature of a compartment is to be the average of all sensor temperature readings taken in that compartment at a particular time. Measurements shall be taken at regular intervals not to exceed four minutes.

5.1.2Compartment Temperature. The compartment temperature for each test period shall be an average of the measured temperatures taken in a compartment during a complete cycle or several complete cycles of the compressor motor (one compressor cycle is one complete motor “on” and one complete motor “off” period). For long-time automatic defrost models, compartment temperatures shall be those measured in the first part of the test period specified in 4.1.1. For models equipped with variable defrost controls, compartment temperatures shall be those measured in the first part of the test period specified in 4.1.2.2 above.

5.1.2.1The number of complete compressor motor cycles over which the measured temperatures in a compartment are to be averaged to determine compartment temperature shall be equal to the number of minutes between measured temperature readings, rounded up to the next whole minute or a number of complete cycles over a time period exceeding one hour. One of the cycles shall be the last complete compressor motor cycle during the test period.

5.1.2.2If no compressor motor cycling occurs, the compartment temperature shall be the average of the measured temperatures taken during the last thirty-two minutes of the test period.

5.1.2.3If incomplete cycling occurs, the compartment temperatures shall be the average of the measured temperatures taken during the last three hours of the last complete “on” period.

5.2Energy Measurements

5.2.1Per-day Energy Consumption. The energy consumption in kilowatt-hours per day for each test period shall be the energy expended during the test period as specified in section 4.1 adjusted to a 24 hour period. The adjustment shall be determined as follows:

5.2.1.1Nonautomatic and automatic defrost models. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=EP×1440/TwhereET=test cycle energy expended in kilowatt-hours per day,EP=energy expended in kilowatt-hours during the test period,T=length of time of the test period in minutes, and1440=conversion factor to adjust to a 24 hour period in minutes per day.

5.2.1.2Long-time Automatic Defrost. If the two part test method is used, the energy consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(1440×EP1/T1)+((EP2−(EP1×T2/T1))×12/CT)whereET and 1440 are defined in 5.2.1.1,EP1=energy expended in kilowatt-hours during the first part of the test,EP2=energy expended in kilowatt-hours during the second part of the test,T1 and T2=length of time in minutes of the first and second test parts respectively,CT=Defrost timer run time in hours required to cause it to go through a complete cycle, to the nearest tenth hour per cycle, and12=factor to adjust for a 50% run time of the compressor in hours per day.

5.2.1.3Variable defrost control. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(1440×EP1/T1)+(EP2−(EP1×T2/T1))×(12/CT) where 1440 is defined in 5.2.1.1 and EP1, EP2, T1, T2 and 12 are defined in 5.2.1.2.CT=CTL×CTM)/(F×(CTM−CTL)+CTL)CTL=least or shortest time between defrosts in tenths of an hour (greater than or equal to six but less than or equal to 12 hours)CTM=maximum time between defrost cycles in tenths of an hour (greater than CTL but not more than 96 hours)F=ratio of per day energy consumption in excess of the least energy and the maximum difference in per day energy consumption and is equal toF = (1/CT − 1/CTM)/(1/CTL − 1/CTM = (ET−ETL)/ETM − ETL) or 0.20 in lieu of testing to find CT.ETL = least electrical energy used (kilowatt hours)ETM=maximum electrical energy used (kilowatt hours). For demand defrost models with no values for CTL and CTM in the algorithm the default values of 12 and 84 shall be used, respectively.

5.2.1.4Optional test method for variable defrost controls.

CT = MTBD×0.5where:MTBD = mean time between defrostsINSERT NEW GRAPHIC NUMBER HEREMTBD=Σ XNwhere:X=in time between defrost cyclesN=number of defrost cycles

5.2.1.5Dual compressor systems with dual automatic defrost. The two-part test method in section 4.1.2.2 must be used, the energy consumption in kilowatt per day shall be calculated equivalent to:

ET=(1440 × EP1/T1) + (EP2F − (EPF × T2/T1)) × 12/CTF + (EP2R − (EPR × T3/T1)) × 12/CTRWhere 1440, EP1, T1, EP2, 12, and CT are defined in 5.2.1.2EPF = energy expended in kilowatt-hours during the second part of the test for the freezer system by the freezer system.EP2F = total energy expended during the second part of the test for the freezer system.EPR = energy expended in kilowatt-hours during the second part of the test for the refrigerator system by the refrigerator system.EP2R = total energy expended during the second part of the test for the refrigerator system.T2 and T3 = length of time in minutes of the second test part for the freezer and refrigerator systems respectively.CTF = compressor “on” time between freezer defrosts (tenths of an hour).CTR = compressor “on” time between refrigerator defrosts (tenths of an hour).

5.3Volume measurements. The electric refrigerator or electric refrigerator-freezer total refrigerated volume, VT, shall be measured in accordance with HRF-1-1979, section 3.20 and sections 4.2 through 4.3 and be calculated equivalent to:

6.1.1Electric refrigerators. The adjusted total volume, VA, for electric refrigerators under test shall be defined as:

VA=(VF×CR)+VFFwhereVA=adjusted total volume in cubic feet,VF and VFF are defined in 5.3, andCR=adjustment factor of 1.44 for refrigerators other than all-refrigerators, or 1.0 for all-refrigerators, dimensionless,

6.1.2Electric refrigerator-freezers. The adjusted total volume, VA, for electric refrigerator-freezers under test shall be calculated as follows:

VA=(VF×CRF)+VFFwhereVF and VFF are defined in 5.3 and VA is defined in 6.1.1,CRF=adjustment factor of 1.63, dimensionless,

6.2Average Per-Cycle Energy consumption.

6.2.1All-refrigerator Models. The average per-cycle energy consumption for a cycle type is expressed in kilowatt-hours per cycle to the nearest one hundredth (0.01) kilowatt-hour and shall depend upon the temperature attainable in the fresh food compartment as shown below.

E=ET1whereE=Total per-cycle energy consumption in kilowatt-hours per day,ET is defined in 5.2.1, and Number 1 indicates the test period during which the highest fresh food compartment temperature is measured.

6.2.1.2If one of the fresh food compartment temperatures measured for a test period is greater than 38.0° F. (3.3° C.), the average per-cycle energy consumption shall be equivalent to:

E=ET1+((ET2−ET1)×(38.0−TR1)/(TR2−TR1))whereE is defined in 6.2.1.1,ET is defined in 5.2.1,TR=Fresh food compartment temperature determined according to 5.1.2 in degrees F,Number 1 and 2 indicates measurements taken during the first and second test period as appropriate, and38.0=Standardized fresh food compartment temperature in degrees F.

6.2.2Refrigerators and refrigerator-freezers. The average per-cycle energy consumption for a cycle type is expressed in kilowatt-hours per-cycle to the nearest one hundredth (0.01) kilowatt-hour and shall be defined in the applicable following manner.

6.2.2.1If the fresh food compartment temperature is always at or below 45° F. (7.2° C.) in both of the tests and the freezer compartment temperature is always at or below 15° F. (−9.4° C.) in both tests of a refrigerator or at or below 5° F. (−15° C.) in both tests of a refrigerator-freezer, the per-cycle energy consumption shall be:

E=ET1whereE is defined in 6.2.1.1,ET is defined in 5.2.1, andNumber 1 indicates the test period during which the highest freezer compartment temperature was measured.

6.2.2.2If the conditions of 6.2.2.1 do not exist, the per-cycle energy consumption shall be defined by the higher of the two values calculated by the following two formulas:

1.1“HRF-1-1979” means the Association of Home Appliance Manufacturers standard for household refrigerators, combination refrigerators-freezers, and household freezers, also approved as an American National Standard as a revision of ANSI B38.1-1970.

1.2“Anti-sweat heater” means a device incorporated into the design of a freezer to prevent the accumulation of moisture on exterior surfaces of the cabinet under conditions of high ambient humidity.

1.3“Cycle” means the period of 24 hours for which the energy use of a freezer is calculated as though the consumer-activated compartment temperature controls were preset so that the desired compartment temperatures were maintained.

1.4“Cycle type” means the set of test conditions having the calculated effect of operating a freezer for a period of 24 hours with the consumer-activated controls other than the compartment temperature control set to establish various operating characteristics.

1.5“Standard cycle” means the cycle type in which the anti-sweat heater switch, when provided, is set in the highest energy consuming position.

1.6“Adjusted total volume” means the product of, (1) the freezer volume as defined in HRF-1-1979 in cubic feet, times (2) an adjustment factor.

1.7“Automatic Defrost” means a system in which the defrost cycle is automatically initiated and terminated, with resumption of normal refrigeration at the conclusion of defrost operation. The system automatically prevents the permanent formation of frost on all refrigerated surfaces. Nominal refrigerated food temperatures are maintained during the operation of the automatic defrost system.

1.8“Long-time Automatic Defrost” means an automatic defrost system where successive defrost cycles are separated by 14 hours or more of compressor-operating time.

1.9“Stabilization Period” means the total period of time during which steady-state conditions are being attained or evaluated.

1.10“Variable defrost control” means a long-time automatic defrost system (except the 14-hour defrost qualification does not apply) where successive defrost cycles are determined by an operating condition variable or variables other than solely compressor operating time. This includes any electrical or mechanical device. Demand defrost is a type of variable defrost control.

1.11“Quick freeze” means an optional feature on freezers which is initiated manually and shut off manually. It bypasses the thermostat control and places the compressor in a steady-state operating condition until it is shut off.

2. Test Conditions.

2.1Ambient temperature. The ambient temperature shall be 90.0±1.0° F. (32.2±0.6° C.) during the stabilization period and during the test period. The ambient temperature shall be 80±2°F dry bulb and 67°F wet bulb during the stabilization period and during the test period when the unit is tested in accordance with section 3.3.

2.2Operational conditions. The freezer shall be installed and its operating conditions maintained in accordance with HRF-1-1979, section 7.2 through section 7.4.3.3, except that the vertical ambient gradient at locations 10 inches (25.4 cm) out from the the centers of the two sides of the unit being tested is to be maintained during the test. Unless the area is obstructed by shields or baffles, the gradient is to be maintained from 2 inches (5.1 cm) above the floor or supporting platform to a height one foot (30.5 cm) above the unit under test. Defrost controls are to be operative and the anti-sweat heater switch is to be “on” during one test and “off” during a second test. The quick freeze option shall be switched off unless specified.

2.3Steady State Condition. Steady state conditions exist if the temperature measurements taken at four minute intervals or less during a stabilization period are not changing at a rate greater than 0.042° F. (0.023° C.) per hour as determined by the applicable condition of A or B.

A—The average of the measurements during a two hour period if no cycling occurs or during a number of complete repetitive compressor cycles through a period of no less than two hours is compared to the average over an equivalent time period with three hours elapsed between the two measurement periods.B—If A above cannot be used, the average of the measurements during a number of complete repetitive compressor cycles through a period of no less than two hours and including the last complete cycle prior to a defrost period, or if no cycling occurs, the average of the measurements during the last two hours prior to a defrost period; are compared to the same averaging period prior to the following defrost period.3. Test Control Settings.

3.1Model with no user operable temperature control. A test shall be performed during which the compartment temperature and energy use shall be measured. A second test shall be performed with the temperature control electrically short circuited to cause the compressor to run continuously. If the model has the quick freeze option, it is to be used to bypass the temperature control.

3.2Model with user operable temperature control. Testing shall be performed in accordance with one of the following sections using the standardized temperature of 0.0° F. (−17.8° C.). Variable defrost control models shall achieve 0±2°F during the steady-state conditions prior to the optional test with no door openings.

3.2.1A first test shall be performed with all temperature controls set at their median position midway between their warmest and coldest settings. Knob detents shall be mechanically defeated if necessary to attain a median setting. A second test shall be performed with all controls set at either their warmest or their coldest setting (not electrically or mechanically bypassed), whichever is appropriate, to attempt to achieve compartment temperatures measured during the two tests which bound (i.e., one is above and one is below) the standardized temperature. If the compartment temperatures measured during these two tests bound the standardized temperature, then these test results shall be used to determine energy consumption. If the compartment temperature measured with all controls set at their coldest setting is above the standardized temperature, a third test shall be performed with all controls set at their warmest setting and the result of this test shall be used with the result of the test performed with all controls set at their coldest setting to determine energy consumption. If the compartment temperature measured with all controls set at their warmest setting is below the standardized temperature; then the result of this test alone will be used to determine energy consumption.

3.2.2Alternatively, a first test may be performed with all temperature controls set at their warmest setting. If the compartment temperature is below the standardized temperature, then the result of this test alone will be used to determine energy consumption. If the above condition is not met, then the unit shall be tested in accordance with 3.2.1 above.

3.2.3Alternatively, a first test may be performed with all temperature controls set at their coldest setting. If the compartment temperature is above the standardized temperature, a second test shall be performed with all controls set at their warmest setting and the results of these two tests shall be used to determine energy consumption. If the above condition is not met, then the unit shall be tested in accordance with 3.2.1 above.

3.3 Variable defrost control optional test. After a steady-state condition is achieved, the door-opening sequence is initiated with an 18±2 second freezer door-opening occurring every eight hours to obtain three door-openings per 24-hour period. The first freezer door-opening shall occur at the initiation of the test period. The door(s) are to be opened 60 to 90° with an average velocity for the leading edge of the door of approximately two feet per second. Prior to the initiation of the door-opening sequence, the freezer defrost control mechanism may be re-initiated in order to minimize the test duration.

4. Test Period.

4.1Test Period. Tests shall be performed by establishing the conditions set forth in Section 2 and using control settings as set forth in Section 3 above.

4.1.1Nonautomatic Defrost. If the model being tested has no automatic defrost system, the test time period shall start after steady state conditions have been achieved, and be of not less than three hours’ duration. During the test period the compressor motor shall complete two or more whole cycles (a compressor cycle is a complete “on” and a complete “off” period of the motor). If no “off” cycling will occur, as determined during the stabilization period, the test period shall be three hours. If incomplete cycling (less than two compressor cycles) occurs during a 24 hour period, the results of the 24 hour period shall be used.

4.1.2Automatic Defrost. If the model being tested has an automatic defrost system, the test time period shall start after steady state conditions have been achieved and be from one point during a defrost period to the same point during the next defrost period. If the model being tested has a long-time automatic defrost system, the alternate provisions of 4.1.2.1 may be used. If the model being tested has a variable defrost control the provisions of 4.1.2.2. shall apply.

4.1.2.1Long-time Automatic Defrost. If the model being tested has a long-time automatic defrost system, the test time period may consist of two parts. A first part would be the same as the test for a unit having no defrost provisions (section 4.1.1). The second part would start when a defrost period is initiated during a compressor “on” cycle and terminate at the second turn “on” of the compressor motor or after four hours, whichever comes first.

4.1.2.2 Variable defrost control. If the model being tested has a variable defrost control system, the test shall consist of three parts. Two parts shall be the same as the test for long-time automatic defrost in accordance with section 4.1.2.1 above. The third part is the optional test to determine the time between defrosts (5.2.1.3). The third part is used by manufacturers that choose not to accept the default value of F of 0.20, to calculate CT.

4.1.2.3 Variable defrost control optional test. After steady-state conditions with no door-openings are achieved in accordance with section 3.3 above, the test is continued using the above daily door-opening sequence until stabilized operation is achieved. Stabilization is defined as a minimum of three consecutive defrost cycles with times between defrost that will allow the calculation of a Mean Time Between Defrosts (MTBD1) that satisfies the statistical relationship of 90 percent confidence. The test is repeated on at least one more unit of the model and until the Mean Time Between Defrosts for the multiple unit test (MTBD2) satisfies the statistical relationship. If the time between defrosts is greater than 96 hours (compressor “on” time) and this defrost period can be repeated on a second unit, the test may be terminated at 96 hours (CT) and the absolute time value used for MTBD for each unit.

5. Test Measurements.

5.1Temperature Measurements. Temperature measurements shall be made at the locations prescribed in Figure 7-2 of HRF-1-1979 and shall be accurate to within ±0.5° F. (0.3° C.) of true value.

5.1.1Measured Temperature. The measured temperature is to be the average of all sensor temperature readings taken at a particular time. Measurements shall be taken at regular intervals not to exceed four minutes.

5.1.2Compartment Temperature. The compartment temperature for each test period shall be an average of the measured temperatures taken during a complete cycle or several complete cycles of the compressor motor (one compressor cycle is one complete motor “on” and one complete motor “off” period). For long-time automatic defrost models, compartment temperature shall be that measured in the first part of the test period specified in 4.1.1. For models equipped with variable defrost controls, compartment temperatures shall be those measured in the first part of the test period specified in 4.1.2.2.

5.1.2.1The number of complete compressor motor cycles over which the measured temperatures in a compartment are to be averaged to determine compartment temperature shall be equal to the number of minutes between measured temperature readings rounded up to the next whole minute or a number of complete cycles over a time period exceeding one hour. One of the cycles shall be the last complete compressor motor cycles during the test period.

5.1.2.2If no compressor motor cycling occurs, the compartment temperature shall be the average of the measured temperatures taken during the last thirty-two minutes of the test period.

5.1.2.3If incomplete cycling occurs (less than one cycle) the compartment temperature shall be the average of all readings taken during the last three hours of the last complete “on” period.

5.2Energy Measurements:

5.2.1Per-day Energy Consumption. The energy consumption in kilowatt-hours per day for each test period shall be the energy expended during the test period as specified in section 4.1 adjusted to a 24 hour period.

The adjustment shall be determined as follows:

5.2.1.1Nonautomatic and automatic defrost models. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(EP×1440× K)/T whereET=test cycle energy expended in kilowatt-hours per day,EP=energy expended in kilowatt-hours during the test period.T=length of time of the test period in minutes,1440=conversion factor to adjust to a 24 hour period in minutes per day, andK=correction factor of 0.7 for chest freezers and 0.85 for upright freezers to adjust for average household usage, dimensionless.

5.2.1.2Long-time Automatic Defrost. If the two part test method is used, the energy consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(1440× K× EP1/T1) + ((EP2−(EP1× T2/T1))× K×12/CT)whereET, 1440, and K are defined in 5.2.1.1EP1=energy expended in kilowatt-hours during the first part of the test.EP2=energy expended in kilowatt-hours during the second part of the test,CT=Defrost timer run time in hours required to cause it to go through a complete cycle, to the nearest tenth hour per cycle,12=conversion factor to adjust for a 50% run time of the compressor in hours per day, andT1 and T2=length of time in minutes of the first and second test parts respectively.

5.2.1.3 Variable defrost control. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(1440 x EP1/T1) + (EP2 − (EP1 x T2/T1) x (12/CT) where 1440 is defined in 5.2.1.1 and EP1, EP2, T1, T2 and 12 are defined in 5.2.1.2.CT=(CTL x CTM)/(Fx (CTM − CTL) + CTL)where:CTL=least or shortest time between defrost in tenths of an hour (greater than or equal to 6 hours but less than or equal to 12 hours, 6 ≤ L ≤ 12)CTM=maximum time between defrost cycles in tenths of an hour (greater than CTL but not more than 96 hours, CTL ≤ CTM ≤ 96)F=ratio of per day energy consumption in excess of the least energy and the maximum difference in per day energy consumption and is equal toF=(1/CT − 1/CTM)/(1/CTL − 1/CTM) = (ET − ETL)/(ETM − ETL) or 0.20 in lieu of testing to find CTETL=least electrical energy consumed, in kilowatt hoursETM=maximum electrical energy consumed, in kilowatt hours

For demand defrost models with no values for CTL and CTM in the algorithm the default values of 12 and 84 shall be used, respectively.

6.2.1The average per-cycle energy consumption for a cycle type is expressed in kilowatt-hours per cycle to the nearest one hundredth (0.01) kilowatt-hour and shall depend upon the compartment temperature attainable as shown below.

1. Definitions: 1.1 “Cycle” means a sequence of operations of a dishwasher which performs a complete dishwashing operation, and may include variations or combinations of the functions of washing, rinsing and drying.

1.2 “Cycle type” means any complete sequence of operations capable of being preset on the dishwasher prior to the initiation of machine operation.

1.3 “Normal cycle” means the cycle type recommended by the manufacturer for completely washing a full load of normally soiled dishes including the power-dry feature.

1.4 “Power-dry feature” means that function in a cycle in which electrically generated heat is introduced into the washing chamber for the purpose of improving the drying performance of the dishwasher.

1.5 “Truncated normal cycle” means the normal cycle interrupted to eliminate the power-dry feature after the termination of the last rinse operation.

1.6 “Water Heating Dishwasher” means a dishwasher which is designed for hearing cold inlet water (nominal 50 ° F) or a dishwasher for which the manufacturer recommends operation with a nominal inlet water temperature of 120 ° F, and may operate at either of these inlet water temperatures by providing internal water heating to above 120 ° F in at least one wash phase of the normal cycle.

2. Testing conditions: 2.1Installation. Install the dishwasher in accordance with the manufacturer's instruction, except that undercounter dishwashers need not be installed under a counter.

2.2 Electrical supply.

2.2.1 Dishwashers that operate with an electrical supply of 115 volts. Maintain the electrical supply to the dishwasher within two percent of 115 volts and within one percent of the nameplate frequency as specified by the manufacturer.

2.2.2 Dishwashers that operate with an electricial supply of 240 volts. Maintain the electrical supply to the dishwasher within two percent of 240 volts and within one percent of its nameplate frequency as specified by the manufacturer.

2.3 Water temperature.

2.3.1 Dishwashers to be tested at a nominal 140°F inlet water temperature. Maintain the water supply temperature between 135°F and 145°F.

2.3.2 Dishwashers to be tested at a nominal 120°F inlet water temperature. Maintain the water supply temperature between 118°F and 122°F.

2.3.3 Dishwashers to be tested at a nominal 50 °F inlet water temperature. Maintain the water supply temperature between 48 °F and 52 ° F.

2.4 Water pressure. Maintain the pressure of the water supply between 32.5 and 37.5 pounds per square inch.

2.5 Ambient and machine temperature. Maintain the room ambient air temperature between 70°F and 85°F, and assure that the dishwasher and the test load are at room ambient temperature at the start of each test cycle.

2.6 Load.

2.6.1 Dishwashers to be tested at a nominal 140°F inlet water temperature. The dishwasher shall be tested on the normal cycle and the truncated normal cycle without a test load.

2.6.2 Dishwashers to be tested at a nominal inlet water temperature of 50 °F or 120 °F. The dishwasher shall be tested or normal cycle and the truncated normal cycle with a test load of eight place settings plus six serving pieces as specified in section 6.1.1 of AHAM Standard DW-1. If the capacity of the dishwasher, as stated by the manufacturer, is less than eight place setting then the test load shall be that capacity.

2.7 Testing requirements. Provisions in this Appendix pertaining to dishwashers which operate with a nominal inlet temperature of 50 ° F or 120 ° F shall apply only to water heating dishwashers.

3. Test cycle and measurements.

3.1 Test cycle. Perform a test cycle by establishing the testing conditions set forth in 2 of this Appendix, setting the dishwasher to the cycle type to be tested, initiating the cycle and allowing the cycle to proceed to completion.

3.2 Machine electrical energy consumption.

3.2.1 Dishwashers that operate with a nominal 140°F inlet water temperature, only. Measure the machine electrical energy consumption, M, specified as the number of kilowatt-hours of electrical energy consumed during the entire test cycle using a water supply temperature as set forth in 2.3.1 of this Appendix. Use a kilowatt-hour meter having a resolution no larger than 0.001 kilowatt hours and a maximum error no greater than one percent.

3.2.2 Dishwashers that operate with a nominal inlet water temperature of 120°F. Measure the machine electrical energy consumption, M, specified as the number of kilowatt-hours of electrical energy consumed during the entire test cycle using a water supply temperature as set forth in 2.3.2 of this Appendix. Use a kilowatt-hour meter having a resolution no larger than 0.001 kilowatt-hours and a maximum error no greater than one percent.

3.2.3 Dishwashers that operate with a nominal inlet water temperature of 50 °F. Measure the machine electrical energy consumption, M, specified as the number of kilowatt-hours of electrical energy consumed during the entire test cycle using a water supply temperature as set forth in 2.3.3 of this appendix. Use a kilowatt-hour meter having a resolution no longer than 0.001 kilowatt-hours and a maximum error no greater than one percent.

3.3 Water consumption. Measure the water consumption specified as the number of gallons delivered to the dishwasher during the entire test cycle, using a water meter having a resolution no larger than 0.1 gallon and a maximum error no greater than 1.5 percent for all water flow rates from one to five gallons per minute and for all water temperatures encountered in the test cycle.

3.4 Report values. State the reported values of machine electrical energy consumption and water consumption as measured.

4.1.1 Dishwashers that operate with a nominal 140°F inlet water temperature, only. Calculate for the cycle type under test the per-cycle water energy consumption using electrically heated water, We, expressed in kilowatt-hours per cycle and defined as:

We=V×T×K,whereV=reported water consumption in gallons per cycle for the cycle type under test.T=nominal water heater temperature rise=90°F.K=specific heat of water in kilowatt-hours per gallon per degree Fahrenheit=0.00240.

4.1.2 Dishwashers that operate with a nominal inlet water temperature of 120°F. Calculate for the cycle type under test the per cycle water energy consumption using electrically heated water, We, expressed in kilowatt-hours per cycle and defined as:

We=V×T′×KwhereV and K are defined in 4.1.1 of this Appendix and T′=nominal water heated temperature rise=70°F.

4.2 Per cycle water energy consumption using gas-heated or oil-heated water.

4.2.1 Dishwashers that operate with a nominal 140°F inlet water temperature, only. Calculate for the cycle type under test the per cycle water energy consumption using gas-heated or oil-heated water, We, expressed in Btu's per cycle and defined as:

Wg=V×T×C/e.whereV and T are defined in 4.1.1 of this Appendix, andC=specific heat of water in Btu's per gallon per degree fahrenheit=8.20e=nominal gas or oil water heater recovery efficiency=0.75.

4.2.2 Dishwashers that operate with a nominal inlet water temperature of 120°F. Calculate for the cycle type under test the per cycle water energy consumption using gas-heated or oil-heated water, Wg, expressed in Btu's per cycle and defined as:

Wg=V × T′ × C/ewhereV and T′ are defined in 4.1.2 of this Appendix, and C and e are defined in 4.2.1 of this Appendix.

4.3Per-cycle machine electrical energy consumption.

4.3.1Dishwashers that operate with a nominal 140°F inlet water temperature, only. Use the measured value recorded in 3.2.1 as the per-cycle machine electrical energy consumption, M, expressed in kilowatt-hours per cycle.

4.3.2Dishwashers that operate with a nominal inlet water temperature of 120°F. Use the measured value recorded in 3.2.2 as the per-cycle machine electrical energy consumption, M, expressed in kilowatt-hours per cycle.

4.3.3 Dishwashers that operate with a nominal inlet water temperature of 50 °F. Use the measured value recorded at 3.2.3 as the per-cycle machine electrical consumption, M, expressed in kilowatt-hours per-cycle.

4.4Total per-cycle energy consumption. Calculate for the cycle type under test the total per-cycle energy consumption, E, expressed in kilowatt-hours per cycle, and defined as the sum of the per-cycle machine electrical energy consumption, M, plus the per-cycle water energy consumption of electrically-heated water, W, calculated for the cycle type, determined according to 4.3 and 4.1 respectively.

1.2“Bone dry” means a condition of a load of test clothes which has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed and weighed before cool down, and then dried again for 10-minute periods until the final weight change of the load is 1 percent or less.

1.3“Compact” or compact size” means a clothes dryer with a drum capacity of less than 4.4 cubic feet.

1.4“Cool down” means that portion of the clothes drying cycle when the added gas or electric heat is terminated and the clothes continue to tumble and dry within the drum.

1.5“Cycle” means a sequence of operation of a clothes dryer which performs a clothes drying operation, and may include variations or combinations of the functions of heating, tumbling and drying.

1.9“Standard size” means a clothes dryer with a drum capacity of 4.4 cubic feet or greater.

1.10“Moisture content” means the ratio of the weight of water contained by the test load to the bone-dry weight of the test load, expressed as a percent.

1.11“Automatic termination control” means a dryer control system with a sensor which monitors either the dryer load temperature or its moisture content and with a controller which automatically terminates the drying process. A mark or detent which indicates a preferred automatic termination control setting must be present if the dryer is to be classified as having an “automatic termination control.” A mark is a visible single control setting on one or more dryer controls.

1.12“Temperature sensing control” means a system which monitors dryer exhaust air temperature and automatically terminates the dryer cycle.

1.13“Moisture sensing control” means a system which utilizes a moisture sensing element within the dryer drum that monitors the amount of moisture in the clothes and automatically terminates the dryer cycle.

2. testing conditions

2.1Installation. Install the clothes dryer in accordance with manufacturer's instructions. The dryer exhaust shall be restricted by adding the AHAM exhaust simulator described in 3.3.5 of HLD-1. All external joints should be taped to avoid air leakage. Disconnect all console light or other lighting systems on the clothes dryer which do not consume more than 10 watts during the clothes dryer test cycle.

2.3.1Electrical supply. Maintain the electrical supply at the clothes dryer terminal block within 1 percent of 120/240 or 120/208Y or 120 volts as applicable to the particular terminal block wiring system and within 1 percent of the nameplate frequency as specified by the manufacturer. If the dryer has a dual voltage conversion capability, conduct test at the highest voltage specified by the manufacturer.

2.3.2Gas supply.

2.3.2.1Natural gas. Maintains the gas supply to the clothes dryer at a normal inlet test pressure immediately ahead of all controls at 7 to 10 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator, the regulator outlet pressure at the normal test pressure shall be approximately that recommended by the manufacturer. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. The natural gas supplied should have a heating value of approximately 1,025 Btu's per standard cubic foot. The actual heating value, Hn2, in Btu's per standard cubic foot, for the natural gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in 2.4.6 or by the purchase of bottled natural gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurements with a standard continuous flow calorimeter as described in 2.4.6.

2.3.2.2Propane gas. Maintain the gas supply to the clothes dryer at a normal inlet test pressure immediately ahead of all controls at 11 to 13 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator, the regulator outlet pressure at the normal test pressure shall be approximately that recommended by the manufacturer. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. The propane gas supplied should have a heating value of approximately 2,500 Btu's per standard cubic foot. The actual heating value, Hp, in Btu's per standard cubic foot, for the propane gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in 2.4.6 or by the purchase of bottled gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurement with a standard continuous calorimeter as described in 2.4.6.

2.4Instrumentation. Perform all test measurements using the following instruments as appropriate.

2.4.1Weighing scale for test cloth. The scale shall have a range of 0 to a maximum of 30 pounds with a resolution of at least 0.2 ounces and a maximum error no greater than 0.3 percent of any measured value within the range of 3 to 15 pounds.

2.4.1.2Weighing scale for drum capacity measurements. The scale should have a range of 0 to a maximum of 500 pounds with resolution of 0.50 pounds and a maximum error no greater than 0.5 percent of the measured value.

2.4.2Kilowatt-hour meter. The kilowatt-hour meter shall have a resolution of 0.001 kilowatt-hours and a maximum error no greater than 0.5 percent of the measured value.

2.4.3Gas meter. The gas meter shall have a resolution of 0.001 cubic feet and a maximum error no greater than 0.5 percent of the measured value.

2.4.4Dry and wet bulb psychrometer. The dry and wet bulb psychrometer shall have an error no greater than ±1°F.

2.4.5Temperature. The temperature sensor shall have an error no greater than ±1°F.

2.4.6Standard Continuous Flow Calorimeter. The Calorimeter shall have an operating range of 750 to 3,500 Btu per cubic feet. The maximum error of the basic calorimeter shall be no greater than 0.2 percent of the actual heating value of the gas used in the test. The indicator readout shall have a maximum error no greater than 0.5 percent of the measured value within the operating range and a resolution of 0.2 percent of the full scale reading of the indicator instrument.

2.5Lint trap. Clean the lint trap thoroughly before each test run.

2.6Test cloths.

2.6.1Energy test cloth. The energy test cloth shall be clean and consist of the following:

(a) Pure finished bleached cloth, made with a momie or granite weave, which is a blended fabric of 50 percent cotton and 50 percent polyester and weighs within +10 percent of 5.75 ounces per square yard after test cloth preconditioning and has 65 ends on the warp and 57 picks on the fill. The individual warp and fill yarns are a blend of 50 percent cotton and 50 percent polyester fibers.

(b) Cloth material that is 24 inches by 36 inches and has been hemmed to 22 inches by 34 inches before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width.

(c) The number of test runs on the same energy test cloth shall not exceed 25 runs.

2.6.2Energy stuffer cloths. The energy stuffer cloths shall be made from energy test cloth material and shall consist of pieces of material that are 12 inches by 12 inches and have been hemmed to 10 inches by 10 inches before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width. The number of test runs on the same energy stuffer cloth shall not exceed 25 runs after test cloth preconditioning.

2.6.3Test Cloth Preconditioning.

A new test cloth load and energy stuffer cloths shall be treated as follows:

(1) Bone dry the load to a weight change of ±1 percent, or less, as prescribed in Section 1.2.

(2) Place test cloth load in a standard clothes washer set at the maximum water fill level. Wash the load for 10 minutes in soft water (17 parts per million hardness or less), using 6.0 grams of AHAM Standard Test Detergent, IIA, per gallon of water. Wash water temperature is to controlled at 140°±5°F (60°±2.7°C). Rinse water temperature is to be controlled at 100°±5°F (37.7±2.7°C).

(3) Rinse the load again at the same water temperature.

(4) Bone dry the load as prescribed in Section 1.2 and weigh the load.

(5) This procedure is repeated until there is a weight change of one percent or less.

(6) A final cycle is to be a hot water wash with no detergent, followed by two warm water rinses.

2.7Test loads.

2.7.1Compact size dryer load. Prepare a bone-dry test load of energy cloths which weighs 3.00 pounds ±.03 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 100°±5° F and consists of 0 to 17 parts per million hardness for approximately two minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 66.5 percent to 73.5 percent of the bone-dry weight of the test load.

2.7.2Standard size dryer load. Prepare a bone-dry test load of energy cloths which weighs 7.00 pounds ±.07 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 100°±5°F and consists of 0 to 17 parts per million hardness for approximately two minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 66.5 percent to 73.5 percent of the bone-dry weight of the test load.

2.7.3Method of loading. Load the energy test cloths by grasping them in the center, shaking them to hang loosely and then dropping them in the dryer at random.

2.8Clothes dryer preconditioning. Before any test cycle, operate the dryer without a test load in the non-heat mode for 15 minutes or until the discharge air temperature is varying less than 1°F for 10 minutes, which ever is longer, in the test installation location with the ambient conditions within the specified rest condition tolerances of 2.2.

3. test procedures and measurements

3.1Drum capacity. Measure the drum capacity by sealing all openings in the drum except the loading port with a plastic bag, and ensure that all corners and depressions are filled and that there are no extrusions of the plastic bag through the opening in the drum. Support the dryer's rear drum surface on a platform scale to prevent deflection of the dryer, and record the weight of the empty dryer. Fill the drum with water to a level determined by the intersection of the door plane and the loading port. Record the temperature of the water and then the weight of the dryer with the added water and then determine the mass of the water in pounds. Add or subtract the appropriate volume depending on whether or not the plastic bag protrudes into the drum interior. The drum capacity is calculated as follows:

C=w/dC= capacity in cubic feet.w= weight of water in pounds.d= density of water at the measured temperature in pounds per cubic feet.

3.2Dryer loading. Load the dryer as specified in 2.7.

3.3Test cycle. Operate the clothes dryer at the maximum temperature setting and, if equipped with a timer, at the maximum time setting and dry the test load until the moisture content of the test load is between 2.5 percent to 5.0 percent of the bone-dry weight of the test load, but do not permit the dryer to advance into cool down. If required, reset the timer or automatic dry control.

3.4Data recording. Record for each test cycle:

3.4.1Bone-dry weight of the test load described in 2.7.

3.4.2Moisture content of the wet test load before the test, as described in 2.7.

3.4.3Moisture content of the dry test load obtained after the test described in 3.3.

3.4.5For electric dryers—the total kilowatt-hours of electric energy, Et, consumed during the test described in 3.3.

3.4.6For gas dryers:

3.4.6.1Total kilowatt-hours of electrical energy, Ete, consumed during the test described in 3.3.

3.4.6.2Cubic feet of gas per cycle, Etg, consumed during the test described in 3.3.

3.4.6.3On gas dryers using a continuously burning pilot light—the cubic feet of gas, Epg, consumed by the gas pilot light in one hour.

3.4.6.4Correct the gas heating value, GEF, as measured in 2.3.2.1 and 2.3.2.2, to standard pressure and temperature conditions in accordance with U.S. Bureau of Standards, circular C417, 1938. A sample calculation is illustrated in Appendix E of HLD-1.

3.5Test for automatic termination field use factor credits. Credit for automatic termination can be claimed for those dryers which meet the requirements for either temperature-sensing control, 1.12, or moisture sensing control, 1.13, and having present the appropriate mark or detent feed defined in 1.11.

Ece=[66/Ww−Wd)]×Ett×FUEt=the energy recorded in 3.4.5.66=an experimentally established value for the percent reduction in the moisture content of the test load during a laboratory test cycle expressed as a percent.FU=Field use factor.=1.18 for time termination control systems.=1.04 for automatic control systems which meet the requirements of the definitions for automatic termination controls in 1.11.1, 1.12 and 1.13.Ww=the moisture content of the wet test load as recorded in 3.4.2.Wd=the moisture content of the dry test load as recorded in 3.4.3.

Eup=Epg×(8760−140/416)×GEFEpg=the energy recorded in 3.4.6.38760=number of hours in a year416=representative average number of clothes dryer cycles in a year140=estimated number of hours that the continuously burning pilot light is on during the operation of the clothes dryer for the representative average use cycle for clothes dryers (416 cycles per year)GEF as defined in 4.3

1.5. First Hour Rating means the amount of hot water the water heater can supply in one hour of operation.

1.6. Heat Trap means a device which can be integrally connected, or independently attached, to the hot and/or cold water pipe connections of a water heater such that the device will develop a thermal or mechanical seal to minimize the recirculation of water due to thermal convection between the water heater tank and its connecting pipes.

1.7. Recovery Efficiency means the ratio of energy delivered to the water to the energy content of the fuel consumed by the water heater.

1.8. Standby means the time during which water is not being withdrawn from the water heater. There are two standby time intervals used within this test procedure: τstby,1 represents the elapsed time between the time at which the maximum mean tank temperature is observed after the sixth draw and the end of the 24 hour test; τstby,2 represents the total time during the 24 hour simulated use test when water was not being withdrawn from the water heater.

1.9. Gas fueled storage water heater means a water heater which utilizes gas as the energy source and which is designed to heat and store water at a thermostatically controlled temperature of less than 180 °F with an input of 75,000 Btu per hour or less and a manufacturers specified storage capacity of not less than 20 gallons nor more than 100 gallons.

1.10 Electric storage water heater means a water heater which utilizes electricity as the energy source and which is designed to heat and store water at a thermostatically controlled temperature of less than 180 °F with an input of 12 kilowatts or less and a manufacturers specified storage capacity of not less than 20 gallons nor more than 120 gallons.

1.11 Oil storage water heater means a water heater which utilizes oil as the energy source and which is designed to heat and store water at a thermostatically controlled temperature of less than 180 °F with an energy input of 105,000 Btu per hour or less, and which has a manufacturers specified storage capacity of 50 gallons or less.

1.12 Gas fueled instantaneous water heater means a water heater which utilizes gas as the energy source controlled manually or automatically by a water flow activated control or a combination of water flow and thermostatic control, which is designed to deliver water at a controlled temperature of less than 180 °F, and which has an input greater than 50,000 Btu per hour and less than 200,000 Btu per hour, and a manufacturers specified storage capacity of less than 2 gallons.

1.13 Heat pump water heater means a water heater which utilizes electricity as the energy source with a maximum current rating of 24 amperes at a voltage no greater than 250 volts, and which is designed to transfer thermal energy from one temperature level to a higher temperature level for the purpose of heating water, including all auxiliary equipment such as fans, storage tanks, pumps, or controls necessary for the device to perform its function.

1.14 ASHRAE Standard 41.1-86 means the standard published in 1986 by the American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. and titled Standard Measurement Guide: Section on Temperature Measurements.

1.15. ASTM-D-2156-80 means the test standard published in 1980 by the American Society of Testing and Measurements and titled Method for Smoke Density in Flue Gases from Burning Distillate Fuels.

1.16. “Rated Storage Volume” means the water storage capacity of a water heater, in gallons, as specified by the manufacturer.

2. Test Conditions

2.1. Installation Requirements. Tests shall be performed with the water heater and instrumentation installed in accordance with section 4.

2.2. Ambient Air Temperature. The ambient air temperature, shall be controlled to a value between 65.0 °F and 70.0 °F on a continuous basis. For heat pump water heaters maintain the dry bulb temperature at 67.5 ± 1 °F. Additionally, for heat pump water heaters the relative humidity shall be maintained between 49 and 51 percent.

2.3. Supply Water Temperature. The temperature of the water being supplied to the water heater shall be maintained at 58 ± 2 °F throughout the test.

2.4. Storage Tank Temperature. The average temperature of the water within the storage tank shall be set to 135 ± 5 °F.

2.5. Supply Water Pressure. During the test when water is not being withdrawn, the supply pressure shall be maintained between 40 psig and the maximum allowable pressure specified by the water heater manufacturer.

2.6. Electrical and/or Fossil Fuel Supply.

2.6.1. Electrical. Maintain the electrical supply voltage to within ± 1 percent of the center of the voltage range specified by the water heater and/or heat pump manufacturer.

2.6.2. Natural Gas. Maintain the supply pressure in accordance with the manufacturer's specifications. If the supply pressure is not specified, maintain a supply pressure of 7 to 10 inches of water column. If the water heater is equipped with a gas appliance pressure regulator, the regulator outlet pressure shall be within ± 10% of the manufacturer's specified manifold pressure. Use natural gas with a higher heating value of approximately 1,025 Btu per standard cubic foot.

2.6.3. Propane Gas. Maintain the supply pressure in accordance with the manufacturer's specifications. If the supply pressure is not specified, maintain a supply pressure of 11 to 13 inches of water column. If the water heater is equipped with a gas appliance pressure regulator, the regulator outlet pressure shall be within ± 10% of the manufacturer's specified manifold pressure. Use propane gas with a higher heating value of approximately 2,500 Btu per standard cubic foot.

2.6.4. Fuel Oil Supply. Maintain an uninterrupted supply of fuel oil. Use fuel oil with a heating value of approximately 138,700 Btu per gallon.

3. Instrumentation

3.1. Pressure Measurements. Pressure measuring instruments shall have an error no greater than the following values:

3.2.3. Scale Division. In no case shall the smallest scale division of the instrument or instrument system exceed 2 times the specified precision.

3.2.4. Temperature Difference. Temperature difference between the entering and leaving water may be measured with any of the following:

a. A Thermopile

b. Calibrated resistance thermometers

c. Precision thermometers

d. Calibrated thermistors

e. Calibrated thermocouples

f. Quartz thermometers

3.2.5. Thermopile Construction. If a thermopile is used, it shall be made from calibrated thermocouple wire taken from a single spool. Extension wires to the recording device shall also be made from that same spool.

3.2.6. Time Constant. The time constant of the instruments used to measure the inlet and outlet water temperatures shall be no greater than 5 seconds.

3.3 Liquid Flow Measurements. The accuracy of the liquid flow rate measurement, using the calibration if furnished, shall be equal to or less than ± 1% of the measured value in mass units per unit time.

3.4. Electric Energy. The electrical energy used shall be measured with an instrument and associated readout device that are accurate within ± 1% of the reading.

3.5. Fossil Fuels. The quantity of fuel used by the water heater shall be measured with an instrument and associated readout device that is accurate within ± 1% of the reading.

3.6. Mass Measurements. Mass measurements shall be made measured with instruments that are accurate within ± 1% of the reading or 0.1 lbm, whichever is greater.

3.7. Heating Value. The higher heating value of the natural gas, propane, or fuel oil shall be measured with an instrument and associated readout device that is accurate within ± 1% of the reading. The heating value of natural gas and propane must be corrected for local temperature and pressure conditions.

3.8. Time. The elapsed time measurements shall be measured with an instrument that is accurate within ± 0.5 seconds per hour.

4. Installation

4.1. Water Heating Mounting. A water heater designed to be free standing shall be installed according to the manufacturer's directions on a 3/4 inch thick plywood platform supported by three 2 × 4 inch runners. If the water heater is not approved for installation on combustible flooring, suitable non-combustible material shall be placed between it and the platform. For heat pump water heaters without a storage tank supplied by the manufacturer, connections shall be made with a storage tank as described in section 4.9.3 and in accordance with manufacturer-published installation instructions. The storage tank and heat pump section shall be placed on platform(s) constructed as previously described. If installation materials are not provided by the heat pump manufacturer, use uninsulated 8 foot long connecting hoses, having an inside diameter of 5/8 inch. Wall mounted water heaters shall be installed in accordance with manufacturer-published installation instructions on a simulated wall section made from 3/4 inch plywood and 2 × 4 inch studs. Placement in the test room shall be in an area protected from drafts.

4.2. Water Supply. The water supply shall be capable of delivering water at conditions as specified in section 2.

4.3. Water Inlet and Outlet Configuration. Inlet and outlet piping connections shall be configured as illustrated in Figures 1, 2, or 3 except a water heater 36 inches high or less, (commonly referred to as an under counter or table top model) intended for installation either beneath, adjacent to or in conjunction with a counter shall have the inlet and outlet connections configured as illustrated in Figures 4a and 4b. Type “L” hard copper tubing, the same size as the connections on the water heater shall be connected to the tank and extend 24 inches in length. If a water heater 36 inches high or less is not factory equipped with pipe to extend the field connection point of the water heater lines to outside of the jacket or cabinet, type “L” hard copper tubing shall be used to extend the water line horizontally to the exterior of the jacket or cabinet. Unions may be utilized to facilitate installation and removal of the piping arrangements. A pressure gauge and diaphragm expansion tank shall be installed in the supply water piping at a location upstream of the 24 inch cold water inlet pipe. An appropriately rated pressure and temperature relief valve shall be installed on all water heaters at the port specified by the manufacturer. Discharge piping for the relief valve shall be non-metallic. If heat traps and/or piping insulation and/or pressure relief valve insulation are supplied with the water heater, then they shall be installed for testing. Clearance shall be provided such that none of the piping contacts other surfaces in the test room.

EC04OC91.000EC04OC91.001

4.4. Fuel and/or Electrical Power and Energy Consumption. Install one or more instruments which measure, as appropriate, the quantity and rate of electrical energy and/or fossil fuel consumption in accordance with section 3.

4.5. Internal Storage Tank Temperature Measurements. Install six temperature measurement sensors inside the water heater tank with a vertical distance of at least four inches between successive sensors. A temperature sensor shall be positioned at the vertical midpoint of each of the six equal volume nodes with the tank. Nodes designate the equal volumes used to evenly partition the total volume of the tank. As much as is possible, the temperature sensor should be positioned away from any heating elements, anodic protective devices, tank walls, and flue pipe walls. If the tank cannot accommodate six temperature sensors and meet the installation requirements specified above, install the maximum number of sensors which comply with the installation requirements. The temperature sensors shall be installed either through; (1) The anodic device opening; (2) the relief valve opening; or (3) the hot water outlet. If installed through the relief valve opening or the hot water outlet, a tee fitting or outlet piping, as applicable, shall be installed as close as possible to its original location. If the hot water outlet includes a heat trap, the heat trap shall be installed on top of the tee fitting. Added fittings shall be covered with thermal insulation having an R value of 4 hr·ft2·°F/Btu.

4.6. Ambient Temperature. The ambient air temperature shall be measured approximately at the vertical mid-point of the heater and approximately 2 feet from the surface of the water heater. The sensor shall be shielded against radiation.

4.7. Inlet and Outlet Water Temperature Measurements. Install temperature sensors in the cold-water inlet pipe and hot-water outlet pipe as shown in Figures 1, 2, or 3, as applicable.

4.8. Flow Control. A flow control valve shall be installed to provide flow as specified within section 5.

4.9. Flue Requirements.

4.9.1. Oil-Fired Water Heaters. Establish a draft at the flue collar as specified in the manufacturer's literature. Establish the draft by using a sufficient length of vent pipe connected to the water heater flue outlet and directed vertically upward. For an oil-fired water heater having a horizontally discharging draft hood outlet, a 90 degree elbow having a diameter equal to the largest flue collar size of the draft hood shall be connected to the draft hood outlet. A length of vent pipe sufficient to establish the draft shall be connected to the elbow fitting and oriented to discharge vertically upward. Direct vent oil-fired water heaters should be installed with venting equipment as specified in the manufacturer's instructions, using the minimum vertical and horizontal lengths of vent pipe recommended by the manufacturer.

4.9.2. Gas-Fired Water Heaters. Establish a natural draft in the following manner. For gas-fired water heaters having a vertically discharging draft hood outlet, a 5 foot vertical vent pipe extension having a diameter equal to the largest flue collar size of the draft hood shall be connected to the draft hood outlet. For gas-fired water heaters having a horizontally discharging draft hood outlet, a 90 degree elbow having a diameter equal to the largest flue collar size of the draft hood shall be connected to the draft hood outlet. A 5 foot length of vent pipe shall be connected to the elbow and oriented to discharge vertically upward.

Direct vent gas-fired water heaters shall be installed wth venting equipment specified in the manufacturer's instructions using the minimum vertical and horizontal lengths of vent pipe recommended by the manufacturer.

4.9.3. Heat Pump Water Heater Storage Tank. The tank to be used for testing a heat pump water heater without a tank supplied by the manufacturer shall be an electric storage type water heater having a volume of 47.0 gallons ± 1 gallon with an Energy Factor of 0.87 ± .01 as determined in accordance with section 6.1.7 with two 4.5 kW heating elements controlled in such a manner as to prevent both elements from operating simultaneously.

5. Test Procedures

5.1. Storage Tank and Heat Pump Water Heaters.

5.1.1. Determination of Storage Tank Volume. Determine the storage capacity, Vst, of the water heater under test, in gallons, by subtracting the tare weight—measured while the tank is empty—from the gross weight of the storage tank completely filled with water with all air eliminated and line pressure applied as described in section 2.5. and dividing the resulting net weight by the density of water at the appropriate temperature.

5.1.2. Setting the Thermostat for a Thermostatically Operated Water Heater. Starting with a tank of supply water, initiate normal operation of the water heater. After cutout, observe the mean tank temperature (based on the six temperature sensors) every minute until the maximum value is observed. Determine whether this maximum value of the mean tank temperature is within the range of 135°F ±5°F. If not, turn off the water heater, adjust the thermostat, and refill the tank with supply water. Then, initiate normal operation of the water heater, and once again determine the maximum mean tank temperature after cut-out. Repeat this sequence until the maximum mean tank temperature after cut-out is within the range of 135°F ±5° F. If a water heater has two thermostats, the thermostat which controls the upper heating element shall be set first to yield a maximum water temperature of 135°F ±5° F as measured by the temperature tank sensors above the upper heating element. The thermostat which controls the lower heating element shall then be set to yield a maximum mean tank temperature of 135°F ±5° F. For heat pump water heaters, which control an auxiliary resistance element, the thermostat shall be set in accordance with the manufacturer's installation instructions.

5.1.3. Power Input Determination. For all water heaters except electric types having immersed heating elements and initiate normal operation and determine the power input, P, to the main burners (including pilot light power, if any) after 15 minutes of operation. If the water heater is equipped with a gas appliance pressure regulator, the regulator outlet pressure shall be set within ±10% of that recommended by the manufacturer. For oil fired water heaters the fuel pump pressure shall be within ±10% of the manufacturer's specified pump pressure. All burners shall be adjusted to achieve an hourly Btu rating that is within ±2% of the value specified by the manufacturer. For an oil-fired water heater, adjust the burner to give a CO2 reading recommended by the manufacturer and an hourly Btu rating that is within ±2% of that specified by the manufacturer. Smoke in the flue may not exceed No. 1 smoke as measured by the procedure in ASTM-D-2156-80. Gas- and oil-fired water instantaneous water heaters shall have the burners adjusted to the manufacture's maximum firing rate value.

5.1.4. First Hour Rating Test. Establish normal water heater operation with the maximum mean tank temperature within the range specified in section 2.1.4. Begin the first hour rating test after the thermostat has acted to reduce the electrical power or fuel input to the water heater and the maximum storage tank temperature has been achieved. If the water heater incorporates a heat-pump, wait until both the heat pump and electrical heating element(s) have ceased to supply energy to the storage tank. Record the time, oil, gas and/or electrical meter readings as appropriate. Do not interrupt electrical power and/or fuel to the water heater. The rate of water withdrawal shall be 3.00±0.25 gallons per minute. Draw and collect water withdrawn from the water heater in a suitable container for the purpose of determining its weight at the conclusion of the test. During the draw record the inlet and outlet fluid temperature beginning 15 seconds after the start and at every subsequent 5 second interval throughout the duration of each draw. Alternatively, a water meter may be used to directly measure the volume of water withdrawn. Record the maximum outlet temperature which occurs during the draw as Tmax. The withdrawal of water shall continue until the outlet temperature drops to a value 25° F below Tmax, defined as Tmin, at which time the draw shall be terminated. Record the average outlet temperature and mass removed as Tdel,i and Mi, respectively. If the thermostat acts to reduce the supply of fuel to the main burner or electrical input to the upper heating element of a multiple element electric water heater, or electrical input to a water heater having a single element or multiple elements which operate simultaneously, before one hour has elapsed, initiate a second draw. During the draw record the outlet fluid temperatures beginning 15 seconds after initiating the draw and at every subsequent 5 second interval throughout the duration of each draw until the outlet temperature drops to Tmin, at which time the draw is terminated. Record the average outlet temperatures as well as the mass removed. Continue this sequence of events until one hour has elapsed. If a draw is currently taking place, continue the draw until the outlet temperature reaches Tmin, and record the elasped time between the previously recorded time, at the beginning of the first draw, and the termination of this final draw as τfhr. If a draw is not taking place at the end of one hour, wait until the thermostat acts to reduce the supply of fuel to the main burner or electrical input to the upper heating element of a multiple element electric water heater, or electrical input to a water heater having a single element or multiple elements which operate simultaneously, to initiate the final draw. During the final draw, record the outlet fluid temperature beginning 15 seconds after initiating the draw and at every subsequent 5 second intervals throughout the duration of the draw until the outlet temperature drops to Tmin, at which time the draw is terminated. Record the elasped time between the previously recorded time, at the beginning of the first draw, and the termination of the final draw as τfhr. In either case, record the outlet temperatures and the mass removed during the final draw.

5.1.5. 24 Hour Simulated Use Test. During the simulated use test, a total of 64.3 gallons are removed. With the water heater turned off, fill the water heater with supply water and apply pressure as described in section 2.1.5. Turn on the water heater and associated heat pump unit, if present. Wait until cutout occurs at 135°F ±5°F, as specified in section 2.1.4. After the cutout occurs, measure the mean tank temperature using the temperature sensors described in section 4.5 every minute until the maximum mean storage tank temperature is achieved. The water heater may be operated through up to three successive cycles of drawing 10 gallons per draw, permitting recovery between each draw, prior to the start of the test. Record at this time (designated as τ=0), the mean tank temperature (To), and the oil, gas, and electrical energy measurements as appropriate. Begin the 24 hour simulated use test by drawing an amount of water out of the water heater equivalent to one-sixth of the daily hot water usage, 64.3 gallons. Record the average storage tank and ambient temperature every 15 minutes throughout the 24 hour simulated use test unless recovery or a draw is occurring. At elapsed time intervals of one, two, three, four and five hours from τ=0), initiate additional draws removing an amount of water equivalent to one-sixth of 64.3 gallons, with the maximum allowable deviation for any single draw being ±0.5 gallons. The quantity of water drawn during the sixth draw shall be increased or decreased as necessary such that the total volume of water withdrawn shall be equal to 64.3±1.0 gallons.

All draws during the simulated use test are to be made at flow rates of 3.0±3.0 gallons per minute. Measurements of the inlet and outlet temperatures shall be made beginning 15 seconds after the draw is initiated and at every subsequent 5 second interval throughout the duration of each draw. The arithmetic mean of the hot water discharge temperature and the cold water inlet temperature shall be determined for each draw. Record the scale or meter reading, as appropriate, after each draw. At the end of the recovery period following the first draw, record the maximum mean tank temperature observed after cut-out, Tmax,1, and the energy consumed, Qr for oil, gas, and heat pump water heaters including auxiliary energy such as pilot lights, pumps, fans, etc. For heat pump water heaters Qr, is the sum of the energy consumed by the heat pump and the electrical heating elements(s).

At the end of the recovery period following the sixth draw, record the total electric and/or fuel energy consumption, Qsu, and the scale reading or the meter reading, as appropriate. If a water scale is used, determine the net weight of the water withdrawn, MFHR in pounds. Record the maximum value of the mean tank temperature after cutout as Tsu. Except as noted below, allow the water heater to remain in the standby mode until 24 hours have elapsed from the start of the test, t=0. Prevent the water heater from beginning a recovery cycle during the last hour of the test by turning off the electric power to the electrical heating elements and heat pump, if present, or by turning down the fuel supply to the main burner at an elapsed time of 23 hours. If a recovery is taking place at an elapsed time of 23 hours, wait until the recovery is complete before reducing the electrical and/or fuel supply to the water heater. At 24 hours, record the mean tank temperature, T24, and the electric and/or fuel instrument readings. Determine the total energy consumption during the entire 24 hour simulated use test, Q. Record the time interval between the time at which the maximum mean tank temperature is observed after the sixth draw and the end of the 24 hour test as τstby,1. Record the time during which water was not being withdrawn from the water heater during the entire 24 hour period as τstby,2.

5.2 Instantaneous Water Heaters

5.2.1. Setting the Outlet Discharge Temperature. Initiate normal operation of the water heater at the full input rating. Monitor the discharge water temperature and set to a value of 135°F ± 5°F in accordance with the manufacturer's instructions. If the water heater is not capable of providing 3.00 ± 0.25 gallons per minute then adjust the flow rate as necessary to achieve the specified discharge water temperature. Record the corresponding flow rate as Vmax. If the instantaneous water heater incorporates a controller which permits continous burner operation at a reduced input rate, adjust the flow rate as necessary to achieve a discharge water temperature of 135° ± 5°F while maintaining the minimum input rate. Record the corresponding flow rate, Vmin. If an outlet temperature of 135° ± 5°F cannot be achieved at the minimum allowable flow rate permitted by the instantaneous water heater, record the flow rate as Vmin and the outlet temperature as Tmin.

5.2.2. Power Input Determination. For oil and gas flow actuated water heaters, adjust the burners to the maximum firing rate value specified by the manufacturer.

5.2.3. First Hour Rating Test for Instantaneous Water Heaters. Establish normal heater operation at the maximum input rate with the discharge water temperature set in accordance with section 5.2.1. Record the time, oil, and/or gas meters as appropriate. Do not interrupt electrical or fuel to the water heater. Draw and collect water withdrawn from the water heater, while recording the inlet and outlet fluid temperatures beginning 15 seconds after the draw is initiated and at every subsequent 5 second interval throughout the duration of the draw in a suitable container for the purpose of determining its weight at the conclusion of the test. Alternatively, a water meter may be used to directly measure the value of water withdrawn. At the end of one hour terminate the draw. Determine the mass of water withdrawn, MFHR, in pounds, or the volume of water withdrawn, VFHR, in gallons with an error no greater than 2 percent.

5.2.4. 24 Hour Simulated Use Test

5.2.4.1. Fixed Input Instantaneous Water Heaters. Establish normal operation with the discharge water temperature and flow rate set to values of 135°F ± 5°F and Vmax, respectively. Record the oil, gas, and electrical energy measurements, as appropriate. Begin the 24 hour simulated use test by drawing an amount of water out of the water heater equivalent to one-sixth of the daily not water usage, 64.3 gallons. At elapsed time intervals of one, two, three, four, and five hours from τ=0, initiate additional draws removing an amount of water equivalent to one-sixth of 64.3 gallons, with the maximum allowable deviation for any single draw being ± 0.5 gallons. The quantity of water drawn during the sixth draw shall be increased or decreased as necessary such that the total volume of water withdrawn shall be equal to 64.3±1.0 gallons. Measurements of the inlet and outlet water temperatures shall be made beginning 15 seconds after the draw is initiated and at every 5 second interval throughout the duration of the draw. The arithmetic mean of the hot water discharge temperature and the cold water inlet temperature shall be determined for each draw. Record the scale or meter reading, as appropriate, after each draw. At the end of the recovery period following the first draw, record the energy consumed, Qr. Allow the water heater to remain in the standby mode until exactly 24 hours have elapsed from the start of the test, τ=0. At 24 hours, record the electric and/or fuel instrument readings. Determine the energy consumption during the entire 24 hour simulated use test, Q.

5.2.4.2. Variable Input Instantaneous Water Heaters. If the instantaneous water heater incorporates a controller which permits continuous burner operation at a reduced input rate, the first three draws shall be conducted using the maximum flow rate, Vmax, while removing an amount of water equivalent to one-sixth of 64.3 gallons, with the maximum allowable deviation for any one of the three draws being ± 0.5 gallons. The second three draws shall be conducted at Vmin. If an outlet temperature of 135° ± 5°F could not be achieved at the minimum flow rate permitted by the instantaneous water heater, the last three draws should be lengthened such that the volume removed is equivalent to

INSERT NEW GRAPHIC NUMBER HEREV4,5,6=64.36*[77°FTmin—58°F]with the maximun allowable definition for any one of the three draws being ± 0.5 gallons. The quantity of water drawn during the sixth draw shall be increased or decreased as necessary such that the total volume of water withdrawn shall be equal to 32.15 + 3*V4,5,6±1.0 gallons. Measurements of the inlet and outlet water temperatures shall be made beginning 15 seconds after the draw is initiated and at every 5 second interval throughout the duration of the draw. Determine the arithmetic mean of the hot water discharge temperature and the cold water inlet temperature for each draw. Record the scale or meter reading, as appropriate, after each draw. At the end of the recovery period following the first draw, record the energy consumption, Qr,max. Record the energy consumed prior to the fourth draw and at the end of the recovery period following the fourth draw, Qr,min.

Allow the water heater to remain in the standby mode until exactly 24 hours have elapsed from the start of the test, τ=0. At 24 hours, record the electric and/or fuel instrument readings. Determine the energy consumption during the entire 24 hours simulated use test, Q.

6. Computations

6.1 Storage Tank Water Heaters.

6.1.1. Storage Tank Capacity. The storage tank capacity is computed using the following—

Vst=(Wf−Wt)/ρwhere Vst is the storage capacity of the water heater, gallonsWf is the weight of the storage tank completely filled with water, 1bmWt is the tare weight of the empty storage tank, 1bmρ is the density of water at the appropriate temperature, 1bm/gal.6.1.2. First Hour Rating Computation. Compute the first hour rating asINSERT NEW GRAPHIC NUMBER HEREFhr=60__τfhrnΣi=1Mi(Tdel,i−Tin,i)___________ρ(135°F−58°F)Which may be expressed asINSERT NEW GRAPHIC NUMBER HEREFhr=60__τfhrnΣi=1Mi(Tdel,i−Tin,i)___________ρ(77°F)where Mi represents the mass removed during the ith draw of the first hour rating test, 1bmTdel,i is the average delivery temperature for the ith draw which occurred during the first hour rating test, °Fτfhr represents the elasped time recorded during the first hour rating test, minutesTin,i is the average inlet temperature for the ith draw which occurred during the first hour rating test, ° Fρ represents the density of water at the average delivery temperature, lbm/galand n represents the number of draws which occur during the test If a water meter is used in lieu of a scale, the first hour rating isINSERT NEW GRAPHIC NUMBER HEREFhr=60__τfhrnΣi=1Vi(Tdel,i−Tin,i)___________77° Fwhere Vi represents the volume removed during the ith draw of the first hour rating test, gal

6.1.3 Recovery Efficiency. The recovery efficiency for gas, oil, and heat pump storage type water heaters is computed as

INSERT NEW GRAPHIC NUMBER HEREηr=M1 Cp1(Tdel,1−Tin,1)QrINSERT NEW GRAPHIC NUMBER HERE+Vst rCp2(Tmax,1−To)Qrwhere M1 is the mass withdrawn during the first draw, lbmCp1 is the specific heat of water at the average temperature (Tdel,1+Tin,1)/2, btu/lbm ° FTdel,1 is the average delivery temperature for the first draw, ° FTin,1 is the average inlet temperature for the first draw, ° FVst is the storage tank capacity, galρ is the density of water at the average temperature (Tmax,1+To)/2, lbm/galCp2 is the specific heat of water at the average temperature (Tmax,1+To)/2, Btu/lbm ° FTmax,1 is the maximum mean tank temperature recorded after cutout following the first draw, ° FTo is the maximum mean tank temperature recorded prior to the first draw, ° Fand Qr is the total energy used by the water heater between cutout prior to the first draw and cutout following the first draw, including auxiliary energy such as pilot lights, pumps, fans, etc., Btu. (Electrical auxiliary energy shall be converted to thermal energy using the following conversion: 1kWh = 3412.76 Btu.)

The recovery efficiency for electric water heaters with immersed heating elements is assumed to be 98 percent.

INSERT NEW GRAPHIC NUMBER HEREQhr = [ Qstby −MCp(T24 − Tsu)ηr]Pτstby,1where Qhr is the hourly standby energy losses of the water heater, Btu/hrQstby is the total energy consumer by the water heater between the time at which the maximum mean tank temperature is observed after the sixth draw and the end of the 24 hour test period, BtuM is the mass of the water within the storage tank, lbmCp is the specific heat of water at the average temperature (T24 + Tsu)/2, Btu/lbm ° FT24 is the mean tank temperature at the end of the 24 hour test period, ° FTsu is the maximum mean tank temperature observed after the sixth draw, ° Fand τstby,1 is the elapsed time between the time at which the maximum mean tank temperature is observed after the sixth draw and the end of the 24 hour test period, hours

The standby heat loss coefficient for the tank is computed as—

INSERT NEW GRAPHIC NUMBER HEREUA =QhrTt,stby − Ta,stbywhere Tt,stby is the average storage tank temperature between the time at which the maximum mean tank temperature is observed after the sixth draw and the end of the 24 hour test period, ° FTa,stby is the average ambient temperature between the time at which the maximum mean tank temperature is observed after the sixth draw and the end of the 24 hour test period, ° Fand UA is the standby heat loss coefficient of the storage tank,INSERT NEW GRAPHIC NUMBER HEREBTUhr ° F

6.1.5. Daily Water Heating Energy Consumption. The daily water heating energy consumption, Qd is computed as

INSERT NEW GRAPHIC NUMBER HEREQd=Q −Cp M(T24 − To)ηrwhere Q is the total energy used by the water heater during the 24 hours simulated use test including auxiliary energy such as pilot lights, pumps, fans, etc., BtuCp is the specific heat of water at the average temperature (T24+To)/2, Btu/lbm °FM is the mass of water within the storge tank, lbmT24 is the average tank temperature at the conclusion of the 24 hours simulated use test, °FTo is the average tank temperature at the beginning of the 24 hours simulated use test, recorded one minute before the first draw is initiated °Fand ηr is the recovery efficiency of the hot water heater, dimensionless.

6.1.6. Adjusted Daily Water Heating Energy Consumption. The adjusted daily water heating energy consumption, Qda takes into account that the temperature difference between the storage tank and surrounding ambient temperature may not be the nominal value of 67.5°F (135°F − 67.5°F) due to the 10°F allowable variation in storage tank temperature, 135 ± 5°F, and the 5°F allowable variation in surrounding ambient temperature 65°F to 70°F. The adjusted daily water heating energy consumption is computed as

Qda=Qd−[(Tstby−Ta,stby]−(135°F−67.5°F)]UAτstby,2where Qda is the adjusted daily water heating consumption, BtuTstby is the mean tank temperature during the total standby portion, τstby,2, of the 24 hour test, °FTa,stby is the average ambient temperature during the total standby portion, τstby,2, of the 24 hour test, °FUA is the standby heat loss coefficient for the storage tank, Btu/hr°Fand τstby,2 is the number of hours during the 24 hour simulated test when water was not being withdrawn from the water heater

A modification is also needed to take into account that the temperature difference between the outlet water temperature and supply water temperature may not be equivalent to the nominal value of 77°F (135°F−58°F). The following equations adjust the experimental data to a nominal 77°F temperature rise.

The energy used to heat water, Btu per day, may be computed as—

INSERT NEW GRAPHIC NUMBER HEREQHW =6Σi=1Mi Cpi(Tdel,i−Tin,i)___________ηrwhere Mi is the mass withdrawn for the ith draw (i=1 to 6), lbmCpi is the specific heat of water, Btu/lbm °F

The energy required to heat the same quantity of water over a 77 °F temperature rise, Btu per day, is

INSERT NEW GRAPHIC NUMBER HEREQHW,&ensp≧77=6Σi=1Mi Cpi(135°F−58°F)____________ηr

The difference between these two values is—

QHWD =QHW,77−QHWwhich must be added to the adjusted daily water heating energy consumption value. Thus, the daily energy consumption value which takes into account that the temperature difference between the storage tank and ambient temperature may not be 67.5°F and the temperature rise across the storage tank may not be 77°F is—Qdm=Qda+QHWD

The annual energy consumption for storage type and heat pump water heaters is computed as—

Eannual=Qdm*365where Qdm is the modified daily energy consumption value, Btu per day and 365 is the number of days within a year, days6.2. Instantaneous Hot Water Heaters.

6.2.1. First Hour Rating Computation. Compute the first hour rating as

INSERT NEW GRAPHIC NUMBER HEREFhr =M(Tdel−Tin)ρ(135°F−58°F)

which may be expressed as—

INSERT NEW GRAPHIC NUMBER HEREFhr =M(Tdel−Tin)ρ(77°F)where M represents the mass removed during the one hour continuous draw, lbmTdel is the average delivery temperature, °FTin is the average inlet temperature, °Fand ρ represents the density of water at the average delivery temperature, lbm/gal

If a water meter is used in lieu of a scale the first hour rating is computed as—

INSERT NEW GRAPHIC NUMBER HEREFhr =V(Tdel−Tin)77°Fwhere V represents the volume of water removed during the one hour continuous draw, gal6.2.2. Recovery Efficiency

6.2.2.1. Fixed Input Instantaneous Water Heaters. The recovery efficiency is computed as

INSERT NEW GRAPHIC NUMBER HEREηr =M1 Cp1(Tdel,1−Tin,1)Qrwhere M1 is the mass withdrawn during the first draw, lbmCp1 is the specific heat of water at the average temperature (Tdel,1+Tin,1)/2, Btu/lbm°FTdel,1 is the average delivery temperature for the first draw, °FTin,1 is the average inlet temperature for the first draw, °Fand Qr is the total energy used by the water heater between cutout prior to the first draw and cutout following the first draw, including auxiliary energy such as pilot lights, pumps, fans, etc., Btu6.2.2.2. Variable Input Instantaneous Water Heaters

For instantaneous water heaters which have a variable firing rate, two recovery efficiency values are computed, one at the maximum input rate and one at the minimum input rate. The recovery efficiency used in subsequent computations is taken as the average of these two values. The maximum recovery efficiency is computed as

INSERT NEW GRAPHIC NUMBER HEREηr,max =M1 Cp1(Tdel,1−Tin,1)Qr,maxwhere M1 is the mass withdrawn during the first draw, lbmCp1 is the specific heat of water at the average temperature (Tdel,1+Tin,1)/2, Btu/lbm °FTdel,1 is the average delivery temperature for the first draw, °FTin,1 is the average inlet temperature for the first draw, °Fand Qr,max is the total energy used by the water heater between cutout prior to the first draw and cutout following the first draw, including auxiliary energy such as pilot light, Btu

The minimum recovery efficiency is computed as—

INSERT NEW GRAPHIC NUMBER HEREηr,min =M4 Cp4(Tdel,4−Tin,4)Qr,minwhere M4 is the mass withdrawn during the fourth draw, lbmCp4 is the specific heat of water, Btu/lbm °FTdel,4 is the average delivery temperature for the fourth draw, °FTin,4 is the average inlet temperature for the first draw, °Fand Qr,min is the total energy consumed immediately prior to the fourth draw and cutout following the fourth draw, including auxiliary energy such as pilot lights, BtuThe recovery efficiency is computed as—INSERT NEW GRAPHIC NUMBER HEREηr =ηr,max+ηr,min2

Qd=Qwhere Q is the energy used by the flow actuated water heater during the 24 hour simulated use test

A modification is needed to take into account that the temperature difference between the outlet water temperature and supply water temperature may not be equivalent to the nominal value of 77 °F (135 °F−58 °F). The following equations adjust the experimental data to a nominal 77 °F temperature rise.

The energy used to heat water may be computed as—

INSERT NEW GRAPHIC NUMBER HEREQHW =6Σi=1Mi Cpi(Tdel,i−Tin,i)_______ηr

The energy required to heat the same quantity of water over a 77 °F temperature rise is—

QHWD=QHW,77−QHWwhich must be added to the daily water heating energy consumption value. Thus, the daily energy consumption value which takes into account that the temperature rise across the storage tank may not be 77 °F is—Qam=Qa+QHWD

6.2.4. Energy Factor. The energy factor, Ef, is computed as—

INSERT NEW GRAPHIC NUMBER HEREEf =6Σi=1Mi Cpi(135° F−58° F)_________Qdmwhere Qdm is the daily water heating energy consumption as computed in accordance with section 6.2.3., BtuMi is the mass associated with the ith draw, lbmCpi is the specific heat of water computed at a temperature of (58 °F+135 °F)/2, Btu/lbm °FTdel,i is the average delivery temperature for the ith draw, °Fand Tin,i is the average inlet temperature for the ith draw, °F

Eannual=Qdm * 365where Qdm is the modified daily energy consumption, Btu per dayand 365 is the number of days within a year, days.7. Ratings for Untested Models

In order to relieve the test burden to manufacturers who offer water heaters which differ only in fuel type or power input, ratings for untested models may be established in accordance with the following procedures. In lieu of the following procedures a manufacturer may elect to test the unit for which a rating is sought.

7.1. Gas Water Heaters. Ratings obtained for gas water heaters using natural gas can be used for an identical water heater which utilizes propane gas if the input ratings are within 10 percent.

7.2. Electric Water Heaters

7.2.1. First Hour Rating. If an electric storage type water heater is available with more than one input rating, the manufacturer shall designate the standard input rating and the water heater need only be tested with heating elements at the designated standard input ratings. The first hour ratings for units having power input rating less than the designated standard input rating shall be assigned a first hour rating equivalent to the first draw of the first hour rating for the electric water heater with the standard input rating. For units having power inputs greater than the designated standard input rating, the first hour rating shall be equivalent to that measured for the water heater with the standard input rating.

7.2.2. Energy Factor. The energy factor for identical electric storage type water heaters, with the exception of heating element wattage, may use the energy factor obtained during testing of the water heater with the designated standard input rating.

1. Test method. The test method for testing room air conditioners shall consist of application of the methods and conditions in American National Standard (ANS) Z234.1-1972, “Room Air Conditioners,” sections 4, 5, 6.1, and 6.5, and in American Society of Heating, Refrigerating and Air Conditioning in Engineers (ASHRAE) Standard 16-69, “Method of Testing for Rating Room Air Conditioners.”

2. Test conditions. Establish the test conditions described in sections 4 and 5 of ANS Z234.1-1972 and in accordance with ASHRAE Standard 16-69.

1.1.1Electric heater. Install heater according to manufacturer's instructions. Heaters shall be connected to an electrical supply circuit of nameplate voltage with a wattmeter installed in the circuit. The wattmeter shall have a maximum error not greater than one percent.

1.1.2Unvented gas heater. Install heater according to manufacturer's instructions. Heaters shall be connected to a gas supply line with a gas displacement meter installed between the supply line and the heater according to manufacturer's specifications. The gas displacement meter shall have a maximum error not greater than one percent. Gas heaters with electrical auxiliaries shall be connected to an electrical supply circuit of nameplate voltage with a wattmeter installed in the circuit. The wattmeter shall have a maximum error not greater than one percent.

1.1.3Unvented oil heater. Install heater according to manufacturer's instructions. Oil heaters with electric auxiliaries shall be connected to an electrical supply circuit of nameplate voltage with a wattmeter installed in the circuit. The wattmeter shall have a maximum error not greater than one percent.

1.2Temperature regulating controls. All temperature regulating controls shall be shorted out of the circuit or adjusted so that they will not operate during the test period.

1.3Fan controls. All fan controls shall be set at the highest fan speed setting.

1.4Energy supply.

1.4.1Electrical supply. Supply power to the heater within one percent of the nameplate voltage.

1.4.2Natural gas supply. For an unvented gas heater utilizing natural gas, maintain the gas supply to the heater with a normal inlet test pressure immediately ahead of all controls at 7 to 10 inches of water column. The regulator outlet pressure at normal supply test pressure shall be approximately that recommended by the manufacturer. The natural gas supplied should have a higher heating value within ± 5 percent of 1,025 Btu's per standard cubic foot. Determine the higher heating value, in Btu's per standard cubic foot, for the natural gas to be used in the test, with an error no greater than one percent. Alternatively, the test can be conducted using “bottled” natural gas of a higher heating value within ± 5 percent of 1,025 Btu's per standard cubic foot as long as the actual higher heating value of the bottled natural gas has been determined with an error no greater than one percent as certified by the supplier.

1.4.3Propane gas supply. For an unvented gas heater utilizing propane, maintain the gas supply to the heater with a normal inlet test pressure immediately ahead of all controls at 11 to 13 inches of water column. The regulator outlet pressure at normal supply test pressure shall be that recommended by the manufacturer. The propane supplied should have a higher heating value of within± 5 percent of 2,500 Btu's per standard cubic foot. Determine the higher heating value in Btu's per standard foot, for the propane to be used in the test, with an error no greater than one percent. Alternatively, the test can be conducted using “bottled” propane of a higher heating value within ± 5 percent of 2,500 Btu's per standard cubic foot as long as the actual higher heating value of the bottled propane has been determined with an error no greater than one percent as certified by the supplier.

1.4.4Oil supply. For an unvented oil heater utilizing kerosene, determine the higher heating value in Btu's per gallon with an error no greater than one percent. Alternatively, the test can be conducted using a tested fuel of a higher heating value within ± 5 percent of 137,400 Btu's per gallon as long as the actual higher heating value of the tested fuel has been determined with an error no greater than one percent as certified by the supplier.

1.5Energy flow instrumentation. Install one or more energy flow instruments which measure, as appropriate and with an error no greater than one percent, the quantity of electrical energy, natural gas, propane gas, or oil supplied to the heater.

2. Testing and measurements.

2.1Electric power measurement. Establish the test conditions set forth in section 1 of this appendix. Allow an electric heater to warm up for at least five minutes before recording the maximum electric power measurement from the wattmeter. Record the maximum electric power (PE) expressed in kilowatts.

Allow the auxiliary electrical system of a forced air unvented gas, propane, or oil heater to operate for at least five minutes before recording the maximum auxiliary electric power measurement from the wattmeter. Record the maximum auxiliary electric power (PA) expressed in kilowatts.

2.2Natural gas, propane, and oil measurement. Establish the test conditions as set forth in section 1 of this appendix. A natural gas, propane, or oil heater shall be operated for one hour. Using either the nameplate rating or the energy flow instrumentation set forth in section 1.5 of this appendix and the fuel supply rating set forth in sections 1.4.2, 1.4.3, or 1.4.4 of this appendix, as appropriate, determine the maximum fuel input (PF) of the heater under test in Btu's per hour. The energy flow instrumentation shall measure the maximum fuel input with an error no greater than one percent.

EE=2080(0.77)DHRwhere:2080=national average annual heating load hours0.77=adjustment factorDHR=design heating requirement and is equal to PE /1.2 in kilowatts.PE=as defined in 2.1 of this appendix1.2=typical oversizing factor for primary electric heaters

3.2Annual energy consumption for primary electric heaters by geographic region of the United States. For primary electric heaters, calculate the annual energy consumption by geographic region of the United States (ER) expressed in kilowatt-hours per year and defined as:

ER=HLH(0.77) (DHR)where:HLH=heating load hours for a specific region determined from Figure 1 of this appendix in hours0.77=as defined in 3.1 of this appendixDHR=as defined in 3.1 of this appendix

3.4Rated output for unvented heaters using either natural gas, propane, or oil. For unvented heaters using either natural gas, propane, or oil equipped without auxiliary electrical systems, the rated output (Qout), expressed in Btu's per hour, is equal to PF, as determined in section 2.2 of this appendix.

For unvented heaters using either natural gas, propane, or oil equipped with auxiliary electrical systems, calculate the rated output (Qout), expressed in Btu's per hour, and defined as:

1.1“IRE-unit flat field” means a specific video electrical signal which results in a particular level of brightness of the television screen as established by the Institute of Radio Engineers.

1.2“Filament keep-warm” means a feature that provides a voltage to keep vacuum tube and/or picture tube filaments warm for the purpose of allowing almost instantaneous response to the power control swtich.

1.3“Operating time” (to) means the hours per year during which the television set is operating with power control turned on.

1.4“Remote control” means an optional feature which allows the user to control the television set from more than one location by a hand held device.

1.5“Standby power consumption” (Ps) means the minimum amount of energy consumed with the power control switch turned off.

1.6“Standby time” (ts) means the hours per year during which the television set is connected to a power outlet with the power control switch turned off.

1.7“Vacation switch or master on-off switch” means an optional energy saving feature incorporated into the design of a television set that permits the user to disconnect the filament keep-warm circuit(s).

1.8“Remote control defeat switch” means a switch which permits the user to disconnect all standby power to a television set.

2. testing conditions and measurements

2.1Test equipment and test signals. The following equipment and test signals shall be used for testing of television sets.

2.1.2Signal generator capable of producing radio frequency (RF) television test signals, at a convenient very high frequency (VHF) channel, modulated with, National Television System Committee composite video as follows:

2.1.2.2Standard Black Pattern, all adjustments as for 2.1.2.1 except modulated with a zero IRE-unit flat field.

2.1.2.3The test signals in 2.1.2.1 and 2.1.2.2, supplied by a source whose impedance equals the design antenna impedance of the television set under test, shall be adjusted to a level of 70 decibels (dB) ±3dB, referred to a zero dB level of one femtowatt (1×10−15 watt) available power. (For a 300 ohm source, 70 dB referred to one femtowatt corresponds to an open-circuit voltage of 3.5 millivolts. For the calculation of “available power” use American National Standard C.16.13-1961, Method of Testing Monochrome Television Broadcast Receivers.)

2.1.3Wattmeter capable of measuring the average power consumption of the television set under test. The wattmeter shall be accurate to within 1 percent of the full scale value. All measurements shall be made on the upper half of the scale of the wattmeter.

2.2Initial set-up of television set.

2.2.1Remove all batteries from television sets designed for both battery and alternating current operation. Deactivate all present or automatic controls affecting brightness which are customer options. Adjust all non-customer controls according to the manufacturer's service procedure.

2.2.2Apply power to the television set under test from the power source specified in 2.1.1 through the wattmeter specified in 2.1.3. Adjust the volume control to the lowest possible setting.

2.2.3Connect the output of the signal generator as specified in 2.1.2 to the VHF antenna terminals of the television set. Tune the television set to the channel of the RF signal.

2.3Measurement of operating power consumption (Po)

2.3.1Turn on the television set and allow at least five minutes warm-up time. With the synchronization controls adjusted for a stable test pattern, apply the standard white pattern specified in 2.1.2.1 to the television set. Adjust any customer controls other than the volume or synchronization controls for maximum power consumption as indicated by the wattmeter specified in 2.1.3. Illuminate any room illuminance sensor which has not been deactivated, to produce maximum power consumption. Record the white pattern consumption (Pw) as indicated by the wattmeter in watts.

2.3.2Change the signal source to the standard black pattern specified in 2.1.2.2. Adjust any customer controls, other than the volume or synchronization controls, for the minimum power consumption as indicated by the wattmeter. Cover any room illuminance sensor which has not been deactivated. Record the black pattern power consumption (Pb) as indicated by the wattmeter in watts.

2.3.3Compute the operating power consumption (po) as follows:

Po=(Pw+Pb/2)where

Po=operating power consumption in watts

Pw=as determined from 2.3.1

Pb=as determined from 2.3.2

2.2Measurements of standby power consumption (Ps)

2.4.1For television sets without either a vacation switch or a remote control defeat switch, turn the power switch off and after two minutes measure the standby power consumption (P).

2.4.2For a television set equipped with a remote control defeat switch, a vacation switch or both, turn the power switch, any vacation switch, and any remote er consumptions, (Pmax).The standby power is then calculated from the equation:

Ps=[(Pmax−Pmin)/2]+Pminwhere

Ps=standby power consumption in watts

Pmax=power consumption, in watts, measured with the television set power switch off and the vacation switch and remote control defeat switch in the highest energy consuming position.

Pmin=power consumption, in watts, measured with the television set power switch off and the vacation switch and remote control defeat switch in the lowest energy consuming position.

3.0Average Annual Energy Consumption

E=(Poto/1,000)+(Psts/1,000)=2.2Po+6.56Pswhere

E=total average energy consumed by the television set (kilowatt-hour per year)

1.1“Built-in” means the product is supported by surrounding cabinetry, walls, or other similar structures.

1.2“Drop-in” means the product is supported by horizontal surface cabinetry.

1.3“Forced convection” means a mode of conventional oven operation in which a fan is used to circulate the heated air within the oven compartment during cooking.

1.4“Freestanding” means the product is not supported by surrounding cabinetry, walls, or other similar structures.

1.5“Normal nonoperating temperature” means the temperature of all areas of an appliance to be tested that is within 5 degrees of the temperature that the identical areas of the same basic model of the appliance would attain if it remained in the test room for 24 hours while not operating with all oven doors closed and with any gas pilot lights on and adjusted in accordance with manufacturer's instructions.

1.6“Primary energy consumption” means either the electrical energy consumption of a conventional electric oven or the gas energy consumption of a conventional gas oven.

1.8“Standard cubic foot of gas” means that quantity of gas that occupies 1 cubic foot when saturated with water vapor at a temperature of 60° F and a pressure of 30 inches of mercury (density of mercury equals 13.595 grams per cubic centimeter).

1.9“Thermocouple” means a device consisting of two dissimilar metals which are joined together and, with their associated wires, are used to measure temperature by means of electromotive force.

2. test conditions

2.1 Installation. A free standing applicance shall be installed with the back directly against, or as near as possible to, a vertical wall which extends at least 1 foot above and on either side of the appliance. There shall be no side walls. A drop-in, built-in or wall-mounted appliance shall be installed in an enclosure in accordance with the manufacturer's instructions. These appliances are to be completely assembled with all handles, knobs, guards and the like mounted in place. Any electric resistance heaters, gas burners, baking racks, and baffles shall be in place in accordance with the manufacturer's instructions; however, broiler pans are to be removed from the oven's baking compartment.

Disconnect any electrical clock which uses energy continuously. Do not disconnect or modify the circuit to any other electrical devices or features, except as indicated in 2.1.3.

2.1.1Conventional electric ranges, ovens and cooking tops and microwave/conventional electric ranges. These products shall be connected to an electrical supply curcuit with voltage as specified in 2.2.1 with a watt-hour meter installed in the circuit. The watt-hour meter shall be as described in 2.9.1.1.

2.1.2Conventional gas ranges, ovens, and cooking tops and gas microwave/conventional gas ranges. These products shall be connected to a gas supply line with a gas meter installed between the supply line and the appliance being tested, according to manufacturer's specifications. The gas meter shall be as described in 2.9.2. Conventional gas ranges, ovens and cooking tops and microwave/conventional gas ranges with electrical ignition devices or other electrical components shall be connected to an electrical supply circuit of nameplate voltage with a watt-hour meter installed in the circuit. The watt-hour meter shall be as described in 2.9.1.1.

2.1.3Microwave ovens. Install the microwave oven in accordance with the manufacturer's instructions and connect to an electrical supply circuit with voltage as specified in section 2.2.1. Disconnect all electrical devices or features, including clocks, which draw power when the microwave oven is turned off and which are not required for the operation of the oven. A watt-hour meter shall be installed in the circuit and shall be as described in 2.9.1.1.

2.2Energy supply.

2.2.1Electrical supply. Maintain the electrical supply to the conventional range, conventional cooking top, conventional oven, and microwave/conventional range being tested at 240/120 volts except that basic models rated only at 208/120 volts shall be tested at that rating. Maintain the electrical supply to a microwave oven at 120 volts and at 60 hertz. In every case, maintain the voltage within 2 percent of the voltage at which the appliance is tested.

2.2.2Gas supply.

2.2.2.1Gas burner adjustments. Conventional gas ranges, ovens, and cooking tops and microwave/conventional gas ranges shall be tested with all of the gas burners adjusted in accordance with the installation or operation instructions provided by the manufacturer. In every case, the burner must be adjusted with sufficient air flow to prevent a yellow flame or a flame with yellow tips.

2.2.2.2Natural gas. For testing convertible cooking appliances or appliances which are designed to operate using only natural gas, maintain the natural gas pressure immediately ahead of all controls of the unit under test at 7 to 10 inches of water column. The regulator outlet pressure shall be approximately that recommended by the manufacturer. The natural gas supplied should have a heating value of approximately 1,025 Btu's per standard cubic foot. The actual gross heating value, Hn, in Btu's per standard cubic foot, for the natural gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in 2.9.4 or by the use of bottled natural gas whose gross heating value is certified to be at least as accurate a value as could be obtained from measurements taken with a standard continuous flow calorimeter as described in 2.9.4.

2.2.2.3Propane. For testing convertible cooking appliances with propane or for testing appliances which are designed to operate using only LP-gas, maintain the propane pressure immediately ahead of all controls of the unit under test at 11 to 13 inches of water column. The regulator outlet pressure shall be approximately that recommended by the manufacturer. The propane supplied should have a heating value of approximately 2,500 Btu's per standard cubic foot. The actual gross heating value, Hp, in Btu's per standard cubic foot, for the propane to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in 2.9.4 or by the use of bottled propane whose gross heating value is certified to be at least as accurate a value as could be obtained from measurements taken with a standard continuous flow calorimeter as described in 2.9.4.

2.2.2.4 Test gas. A basic model of a convertible cooking appliance shall be tested with natural gas, but may also be tested with propane. Any basic model of a conventional range, conventional cooking top, or conventional oven which is designed to operate using only natural gas as the energy source must be tested with natural gas. Any basic model of a conventional range, conventional cooking top, or conventional oven which is designed to operate using only LP gas as the gas energy source must be tested with propane gas.

2.3Air circulation. Maintain air circulation in the room sufficient to secure reasonably uniform temperature distribution, but do not cause a direct draft on the unit under test.

2.4Setting the conventional oven thermostat.

2.4.1Conventional electric oven. Install a thermocouple approximately in the center of the usable baking space. Provide a temperature indicator system for measuring the oven's temperature with an accuracy as indicated in 2.9.3.2. If the oven thermostat does not cycle on and off, adjust or determine the conventional electric oven thermostat setting to provide an average internal temperature which is 325°±5° F higher than the room ambient air temperature. If the oven thermostat operates by cycling on and off, adjust or determine the conventional electric oven thermostat setting to provide an average internal temperature which is 325°±5° F higher than the room ambient air temperature. This shall be done by measuring the maximum and minimum temperatures in any three consecutive cut-off/cut-on actions of the electric resistance heaters, excluding the initial cut-off/cut-on action, by the thermostat after the temperature rise of 325°±5° F has been attained by the conventional electric oven. Remove the thermocouple after the thermostat has been set.

2.4.2 Conventional gas oven. Install five parallel-connected weighted thermocouples, one located at the center of the conventional gas oven's usable baking space and the other four equally spaced between the center and the corners of the conventional gas oven on the diagonals of a horizontal plane through the center of the conventional gas oven. Each weighted thermocouple shall be constructed of a copper disc that is 1-inch in diameter and 1/8-inch thick. The two thermocouple wires shall be located in two holes in the disc spaced 1/2-inch apart, with each hole being located 1/4-inch from the center of the disc. Both thermocouple wires shall be silver-soldered to the copper disc. Provide a temperature indicator system for measuring the oven's temperature with an accuracy as indicated in 2.9.3.2. If the oven thermostat does not cycle on or off, adjust or determine the conventional gas oven thermostat setting to provide an average internal temperature which is 325°±5° F higher than the room ambient air temperature. If the oven thermostat operates by cycling on and off, adjust or determine the conventional electric oven thermostat setting to provide an average internal temperature which is 325°±5° F higher than the room ambient air temperature. This shall be done by measuring the maximum and minimum temperatures in any three consecutive cut-off/cut-on actions of the gas burners, excluding the initial cut-off/cut-on action, by the thermostat after the temperature rise of 325°±5° F has been attained by the conventional gas oven. Remove the thermocouples after the thermostat has been set.

2.5Ambient room air temperature. During the test, maintain an ambient room air temperature, TR, of 77°±9° F as measured at least 5 feet and not more than 8 feet from the nearest surface of the unit under test and approximately 3 feet above the floor. The temperature shall be measured with a thermometer or temperature indicating system with an accuracy as indicated in 2.9.3.1.

2.6Normal nonoperating temperature. All areas of the appliance to be tested shall attain the normal nonoperating temperature, as defined in 1.5, before any testing begins. The equipment for measuring the applicable normal nonoperating temperature shall be as described in 2.9.3.1, 2.9.3.2, 2.9.3.4, and 2.9.3.5, as applicable.

2.7Test blocks for conventional oven and cooking top. The test blocks shall be made of aluminum alloy No. 6061, with a specific heat of 0.23 Btu's/lb-°F and with any temper that will give a coefficient of thermal conductivity of 0.37 to 0.41 cal/cm-°C-sec. Each block shall have a hole at its top. The hole shall be 0.08 inch in diameter and 0.80 inch deep. The manufacturer conducting the test may provide other means which will ensure that the thermocouple junction is installed at this same position and depth.

The bottom of each block shall be flat to within 0.002 inch TIR (total indicator reading). Determine the actual weight of each test block with a scale with an accuracy as indicated in 2.9.5.

2.7.1Conventional oven test block. The test block for the conventional oven, W1, shall be 6.25±0.05 inch in diameter, approximately 2.8 inches high and shall weigh 8.5±0.1 lbs. The block shall be finished with an anodic black coating which has a minimum thickness of 0.001 inch or with a finish having the equivalent absorptivity.

2.7.3Large test block for conventional cooking top. The large test block for the conventional cooking top, W3, shall be 9±0.05 inches in diameter, approximately 3.0 inches high and shall weigh 19±0.1 lbs.

2.7.4Thermocouple installation. Install the thermocouple such that the thermocouple junction (where the thermocouple contacts the test block) is at the bottom of the hole provided in the test block and that the thermocouple junction makes good thermal contact with the aluminum block. If the test blocks are to be water cooled between tests the thermocouple hole should be sealed, or other steps taken, to insure that the thermocouple hole is completely dry at the start of the next test. Provide a temperature indicator system for measuring the test block temperature with an accuracy as indicated in 2.9.3.3.

2.7.5Initial test block temperature. Maintain the initial temperature of the test blocks, TI, within ±4° F of the ambient room air temperature as specified in 2.5. If the test block has been cooled (or heated) to bring it to room temperature, allow the block to stabilize for at least 2 minutes after removal from the cooling (or heating) source, before measuring its initial temperature.

2.8Test beakers.

2.8.1Test beaker description. The five test beakers shall be made of a thin walled borosilicate glass. Two of the test beakers shall have an inside diameter of approximately 85 millimeters (mm). Three of the test beakers shall have an inside diameter of approximately 110 mm.

2.8.2.1Test beaker water load temperature. Maintain the initial temperature of the test beaker water load within the range of 68° F to 77° F. The temperature shall be measured with a thermometer or other equipment with an accuracy as indicated in 2.9.3.4.

2.9Instrumentation. Perform all test measurements using the following instruments, as appropriate:

2.9.1Electrical Measurements.

2.9.1.1Watt-hour meter. The watt-hour meter for measuring the electrical energy consumption of conventional ovens and cooking tops shall have a resolution of at least 1 watt-hour and a maximum error no greater than 1.5 percent of the measured value for any demand greater than 100 watts. The watt-hour meter for measuring the energy consumption of microwave ovens shall have a resolution of at least 0.1 watt-hour and a maximum error no greater than 1.5 percent of the measured value.

2.9.1.2Wattmeter. The wattmeter shall have a resolution of at least 0.2 watt and a maximum error no greater than 5 percent of the measured value over the range of 0 to 10 watts.

2.9.2Gas Measurements.

2.9.2.1Positive displacement meters. The gas meter to be used for measuring the gas consumed by the gas burners of the oven or cooking top shall have a resolution of at least 0.01 cubic foot and a maximum error no greater than 1 percent of the measured value for any demand greater than 2.2 cubic feet per hour. If a positive displacement gas meter is used for measuring the gas consumed by the pilot lights, it shall have a resolution of at least 0.01 cubic foot and have a maximum error no greater than 2 percent of the measured value.

2.9.2.2Flow meter. If a gas flow meter is used for measuring the gas consumed by the pilot lights, it shall be calibrated to have a maximum error no greater than 1.5 percent of the measured value and a resolution of at least 1 percent of the measured value.

2.9.3Temperature measurement equipment.

2.9.3.1Room temperature indicating system. The room temperature indicating system shall have an error no greater than ±1° F over the range 65° to 90° F.

2.9.3.2Temperature indicator system for measuring conventional oven temperature. The equipment for measuring the conventional oven temperature shall have an error no greater than ±4° F over the range of 65° to 500° F.

2.9.3.3Temperature indicator system for measuring test block temperature. The system shall have an error no greater than 2° F when measuring specific temperatures over the range of 65° to 330° F. It shall also have an error no greater than 2° F when measuring any temperature difference up to 240° F within the above range.

2.9.3.4Microwave oven and test load temperatures. The thermometer or other equipment used to measure the microwave oven temperature and its test load temperature shall have an error no greater than 1° F over the range of 65° to 140° F.

2.9.3.5Temperature indicator system for measuring surface temperatures. The temperatures of an external surface of an appliance shall be measured by means of a thermocouple in firm contact with the surface. The temperature indicating system shall have an error no greater than ±1° F over the range 65° to 90° F.

2.9.4Standard continuous flow calorimeter. The calorimeter shall have an operating range of 750 to 3,500 Btu's per cubic foot. The maximum error of the basic calorimeter shall be no greater than 0.2 percent of the gross heating value of the gas used in the test. The indicator readout shall have a maximum error no greater than 0.5 percent of the measured value within the above operating range and a resolution of 0.2 percent or less of the full scale reading of the indicator instrument.

2.9.5Scale. The scale used for weighing the test blocks shall have a maximum error no greater than one ounce.

3. test methods and measurements

3.1Test methods.

3.1.1Conventional oven. Perform a test by establishing the testing conditions set forth in 2 of this appendix, and adjust any pilot lights of a conventional gas oven in accordance with the manufacturer's instructions and turn off the gas flow to the conventional cooking top, if so equipped.

Before beginning the test, the conventional oven shall be at its normal nonoperating temperature as defined in 1.5 and described in 2.6. Set the conventional oven test block W1 approximately in the center of the usable baking space. If there is a selector switch for selecting the mode of operation of the oven, set for normal baking. If an oven permits baking by either forced convention using a fan, or without forced convection, the oven is to be tested in each of those two modes. If the oven thermostat does not cycle on and off, adjust or determine the conventional electric oven thermostat setting to provide an average internal temperature which is 325° ±5° F higher than the room ambient air temperature. If the oven thermostat operates by cycling on and off, adjust or determine the conventional electric oven thermostat setting to provide an average internal temperature which is 325°±5° of higher than the room ambient air temperature. If the oven thermostat operates by cycling on and off, the oven shall remain on for at least one complete thermostat “cut-off/cut-on” of the electrical resistance heaters or gas burners after the test block temperature has increased 234° F above its initial temperature.

3.1.1.1Self-cleaning operation of a conventional oven. Perform a test by establishing the test conditions set forth in 2 of this appendix. Adjust any pilot lights of a conventional gas oven in accordance with the manufacturer's instructions and turn off the gas flow to the conventional cooking top. The temperature of the conventional oven shall be its normal nonoperating temperature as defined in 1.5 and described in 2.6. Then set the conventional oven's self-cleaning process in accordance with the manufacturer's instructions. If the self-cleaning process is adjustable, use the average time recommended by the manufacturer for a moderately soiled oven.

3.1.1.2Continuously burning pilot lights of a conventional gas oven. Perform a test by establishing the test conditions set forth in 2 of this appendix. Adjust any pilot lights of a conventional gas oven in accordance with the manufacturer's instructions and turn off the gas flow to the conventional cooking top. If a positive displacement gas meter is used the test duration shall be sufficient to measure a gas consumption which is at least 200 times the resolution of the gas meter.

3.1.2Conventional cooking top. Perform a test by establishing the test conditions set forth in 2 of this Appendix. Adjust any pilot lights of a conventional gas cooking top in accordance with the manufacturer's instructions and turn off the gas flow to the conventional oven(s), if so equipped. The temperature of the conventional cooking top shall be its normal nonoperating temperature as defined in 1.5 and described in 2.6. Set the test block in the center of the surface unit under test. The small test block, W 2, shall be used on electric surface units of 7 inches or less in diameter. The large test block, W 3, shall be used on electric surface units over 7 inches in diameter and on all gas surface units. Turn on the surface unit under test and set its energy input rate to the maximum setting (100 percent). When the test block reaches 144°F above its initial test block temperature, immediately reduce the energy input rate to 25±5 percent of the maximum energy input rate. After 15±0.1 minutes at the reduced energy setting, turn off the surface unit under test.

3.1.2.1Continuously burning pilot lights of a conventional gas cooking top. Perform a test by establishing the test conditions set forth in 2 of this Appendix. Adjust any pilot lights of a conventional gas cooking top in accordance with the manufacturer's instructions and turn off the gas flow to the conventional oven(s). If a positive displacement gas meter is used the test duration shall be sufficient to measure a gas consumption which is at least 200 times the resolution of the gas meter.

3.1.3Microwave oven. Perform the tests by establishing the testing conditions set forth in 2 of this Appendix. Four tests are to be conducted with the water test loads in the following sequence: 2,000 ml, 1,000 ml, 500 ml and 275 ml. For each test, place the appropriate test beaker(s) containing the water load specified in 2.8.2 in approximately the center of the load carrying surface of the oven, and operate the microwave oven at its maximum microwave power setting until the temperature of the water load has been raised 45±9° F. Allow one minute for changing the test load beakers between each of the tests.

For the 2,000 ml test, set the two test beakers, each containing 1,000 ml of the specified water load, side by side, in the approximate center of the oven.

3.2Test measurements.

3.2.1Conventional oven test energy consumption. If the oven thermostat is a type which controls the oven temperature without cycling on and off, measure the energy consumed, E o, when the temperature of the block reaches T o (T o is 234° F above the initial block temperature, T I). If the oven thermostat operates by cycling on and off, make the following series of measurements: Measure the block temperature, T A, and the energy consumed, E A, at the end of the last “ON” period of the conventional oven before the block reaches T o. Measure the block temperature, T B, and the energy consumed, E B, at the beginning of the next “ON” period. Measure the block temperature, T C, and the energy consumed, E C, at the end of that “ON” period. Measure the block temperature, T D, and the energy consumed, E D, at the beginning of the following “ON” period. Energy measurements for E A, E B, E C and E D should be expressed in watt-hours for conventional electric ovens or standard cubic feet of gas for conventional gas ovens. For a gas oven measure in watt-hours any electrical energy, E IO, consumed by an ignition device or other electrical components required for the operation of a conventional gas oven while heating the test block to T O.

3.2.1.1Energy consumption of self-cleaning operation. Measure the self-cleaning conventional electric or gas oven energy consumption, E S, specified as the number of watt-hours of electrical energy or standard cubic feet of gas, respectively, consumed during the self-cleaning test set forth in 3.1.1.1. For a gas oven also measure in watt-hours any electrical energy, E IS, consumed by an ignition device or other electrical components required during the self-cleaning test.

3.2.1.2Gas consumption of continuously burning pilot lights. Measure the gas consumption of the pilot lights, P o, in standard cubic feet of gas and the test duration, L o, in hours for the test set forth in 3.1.1.2. If a gas flow meter is used, measure the flow rate, P R, in standard cubic feet per hour.

3.2.1.3Clock power. If the conventional oven, conventional range, or microwave/conventional range includes an electric clock which is on continuously, and the power rating in watts of this feature is not know, measure the clock power, P CL, in watts.

3.2.2Conventional surface unit test energy consumption. For the surface unit under test, measure the energy consumption, ECT, in standard cubic feet of gas or watt-hours of electricity, respectively, and the test block temperature, TCT, at the end of the 15 minute (reduced input setting) test interval for the test specified in 3.1.2 and the total time, TT, in hours, that the unit is under test. Measure any electrical energy, EIC, consumed by an ignition device of a gas heating element in watt-hours.

3.2.2.1Gas consumption of continuously burning pilot lights. If the conventional gas cooking top under test has one or more continuously burning pilot lights, measure the gas consumed during the test by the pilot lights, Pc, in standard cubic feet of gas, and the test duration, Lc, in hours as specified in 3.1.2.1. If a gas flow meter is used, measure the flow rate, P, in standard cubic feet per hour.

3.2.3Microwave oven test energy consumption. Measure the initial, TI, and final, TF, temperatures, in degrees Fahrenheit (°F), of the water test load for the 2,000 ml, 1,000 ml, 500 ml and 275 ml tests. The final temperature, TF, shall be measured after the test load has been stirred to insure uniform temperature distribution. Measure the elapsed time, t, in seconds, until the temperature rise of the water load is 45±9° F.

Measure for each test specified in 3.1.3 the electical input energy, EM, in watt-hours consumed by the microwave oven during the elapsed time, t.

3.3Recorded values.

3.3.1Record the test room temperature, TR, at the start and end of each test.

3.3.2Record measured test block weights W1, W2, and W3 in pounds.

3.3.3Record the initial temperature, TI, of the test block under test.

3.3.4For a conventional oven with a thermostat which operates by cycling on and off, record the conventional oven test measurements TA, EA, TB, EB, TC, EC, TD, and ED. If the thermostat controls the oven temperature without cycling on and off, record EO. For a gas oven which also uses electrical energy for the ignition or operation of the oven, also record EIO.

3.3.5Record the measured energy consumption, ES, and for a gas oven, any electrical energy, EIS, for the test of the self-cleaning operation of a conventional oven.

3.3.6Record the gas flow rate, PR; or the gas consumption, Po, and the elapsed time, Lo, that any continuously burning pilot lights of a conventional oven are under test.

3.3.7Record the clock power measurement or rating, PCL, in watts.

3.3.8For the surface unit under test, record the energy consumption, ECT, the final test block temperature, TCT, the total test time, TT. For a gas cooking top which uses electrical energy for ignition of the burners, also record EIC.

3.3.9Record the gas flow rate, P; or the gas consumption, Pc, and the elapsed time, Lc, that any continuously burning pilot lights of a conventional cooking top are under test.

3.3.10Record the heating value, Hn, as determined in 2.2.2.2 for the natural gas supply.

3.3.11Record the heating value, Hp, as determined in 2.2.2.3 for the propane supply.

3.3.12Record the electrical input energy, EM, the elapsed time, t, and initial, TI, and final, TF, temperature of the water load for each microwave oven test.

4. calculation of derived results from test measurements

4.1Conventional oven.

4.1.1Test energy consumption. For a conventional oven with a thermostat which operates by cycling on and off calculate the test energy consumption, EO, corresponding to TO with the aid of the figure in 5 of this Appendix, expressed in watt-hours for electric ovens and in Btu's for gas ovens, and defined as:

EC04OC91.003where:H=either Hn or Hp, the heating value of the gas used in the test as specified in 2.2.2.2 and 2.2.2.3, expressed in Btu's per standard cubic foot.EC04OC91.004where:TA=block temperature at the end of the last “ON” period of the conventional oven before the test block reaches TO.EA=volume of gas consumed in standard cubic feet at the end of the last “ON” period before the test block reaches TO.TB=block temperature at the beginning of the “ON” period following the measurement of TA.EB=volume of gas consumed in standard cubic feet of gas at the beginning of the “ON” period following the measurement TA.TC=block temperature at the end of the “ON” period which starts with TB.EC=volume of gas consumed in standard cubic feet of gas at the end of the “ON” period which starts with TB.TD=block temperature at the beginning of the “ON” period which follows the measurement of TC.ED=volume of gas consumed in standard cubic feet of gas at the beginning of the “ON” period which follows the measurement of TC.

4.1.1.1Average test energy consumption. If the conventional oven can be operated with or without forced convection, determine the average test energy consumption, EO and EIO, using the following equations:

EC04OC91.005where:(Eo)1, (Eo)2=Test energy consumption in each baking mode as measured in 3.2.1 or as calculated in 4.1.1.(EIO)1, (EIO)2=electrical energy consumption of a gas oven in each baking mode as measured in 3.2.1.

EC04OC91.008where:EIO=electrical test energy consumption according to 3.2.1 or as calculated in 4.1.1.1.OO=47.09 kWh's, annual useful cooking energy output.HE, W1, CP, and T are as defined in 4.1.2.1.1.

EPO=PR × H × (A-B),where:EC04OC91.009=pilot flow rate in standard cubic feet per hour where PO and LO are defined below.PO=Standard cubic feet of gas consumed by any continuously burning pilot lights as determined in 3.2.1.2.H=Hn or HP, the heating value of the gas used in the test as specified in 2.2.2.2 and 2.2.2.3 in Btu's per standard cubic foot.LO=elapsed test time in hours for any continuously burning pilot lights tested.A=8,760, number of hours in a year.B=300, number of hours any continuously burning pilot lights contribute to the heating of an oven for cooking food.

ESC=ES × Se × C, for electric ovens,where:ES=energy consumption in watt-hours as measured in 3.2.1.1.Se=11, average number of times a self-cleaning operation of a conventional electric oven is used per year.C=.001 kW/W conversion factor of watts to kilowatts.orESC=ES × H × Sg, for gas ovens,where:ES=gas consumption in standard cubic feet per oven tested according to 3.2.1.1.H=Hn or Hp, the heating value of the gas used in the test as specified in 2.2.2.2 and 2.2.2.3 in Btu's per standard cubic foot.Sg=7, average number of times a self-cleaning operation of a conventional gas oven is used per year.

The total annual energy consumption of a conventional gas oven, EAO, is comprised of EAOG, expressed in Btu's and EAOE, expressed in kilowatt-hours, as computed above.

4.1.2.6.Total annual energy consumption of multiple conventional ovens. If the cooking appliance includes more than one conventional oven calculate the total annual energy consumption of the conventional ovens using the following equations:

EC04OC91.015where:W1=measured weight of test block in pounds.CP=0.23 Btu/lb-° F, specific heat of test block.T=234° F, temperature rise of test block.EO=test energy consumption as measured in 3.2.1 or calculated in 4.1.1 or 4.1.1.1.HE=3.412 Btu's/Wh, conversion factor for watt-hours to Btu's.E10=electrical test energy consumption according to 3.2.1 or as calculated in 4.1.1.1.

4.1.3.2Multiple conventional ovens. If the cooking appliance includes more than one conventional oven, calculate the cooking efficiency for all of the conventional ovens in the appliance, EffTO, using the following equation:

EC04OC91.016where:n=number of conventional ovens in the cooking appliance.EffAO=cooking efficiency of each oven determined according to 4.1.3.1.

4.1.4Conventional oven energy factor.

4.1.4.1Single conventional oven. Calculate the energy factor, or the ratio of useful cooking energy output to the total energy input, RO, using the following equations:

EC04OC91.022where:W3=measured weight of test block according to 3.3.2, expressed in pounds.Cp and Tsu are the same as defined in 4.2.1.1.EC04OC91.023where:ECT=total gas consumption for the gas surface unit test as defined in 3.2.2.EIC=electrical energy consumed by an ignition device of a gas surface unit as defined in 3.2.2.HE=3.412 Btu's/Wh, conversion factor of watt-hours to Btu's.H=either Hn or Hp, the heating value of the gas used in the test as specified in 2.2.2.2 and 2.2.2.3, expressed in Btu's per standard cubic foot of gas.ECP=P x T, (pilot consumption, in standard cubic feet, during unit test) whereEC04OC91.024where:Pc=any pilot lights gas consumption defined in 3.2.2.1.Lc=elapsed time of the cooking top pilot lights test as defined in 3.1.2.1.TT=the elapsed test time as defined in 3.2.2.

4.2.1.3Conventional cooking top cooking efficiency. Calculate the conventional cooking top cooking efficiency, EffCT, using the following equation:

EC04OC91.025where:n=number of surface units in the cooking top.EffSU=the efficiency of each of the surface units, as determined according to 4.2.1.1 or 4.2.1.2.

4.2.2Conventional cooking top annual energy consumption.

4.2.2.1Conventional electric cooking top energy consumption. Calculate the annual energy consumption of an electric cooking top, ECA, in kilowatt-hours per year and defined as:

4.2.2.2.2Annual energy consumption of any continuously burning gas pilots. Calculate the annual energy consumption of any continuously burning gas pilot lights of the cooking top, Epc, in Btu's per year and defined as:

Epc=P×A×H,where:P=pilot light flow rate as defined in 4.2.1.2, or as measured in 3.2.2.1.A=8,760 hours, the total number of hours in a year.H=either Hn or Hp, the heating value of the gas used in the test as specified in 2.2.2.2. and 2.2.2.3, expressed in Btu's per standard cubic foot of gas.

4.2.2.2.3Total annual energy consumption of a conventional gas cooking top. Calculate the total annual energy consumption of a conventional gas cooking top, ECA, in Btu's per year and defined as:

ECA=ECC+EPC,where:ECC=energy consumption for cooking as determined in 4.2.2.2.1.EPC=annual energy consumption of the pilot lights as determined in 4.2.2.2.2.

4.2.3Conventional cooking top energy factor. Calculate the energy factor, or ratio of useful cooking energy output for cooking to the total energy input, RCT, as follows:

For an electric cooking top the energy factor is the same as the cooking efficiency as determined according to 4.2.1.3.

4.3.1Conventional range annual energy consumption. Calculate the conventional range annual energy consumption, ER, in kWh's per year for electrical energy and Btu's per year for gas energy, and defined as:

ER=EAT+ ECA, where gas and electrical energy are added separately, and whereEAT=EAO or ETO, the conventional oven(s) annual energy consumption in kWh's per year and/or Btu's per year as determined in 4.1.2.5 or 4.1.2.6.CCA=the conventional cooking top annual energy consumption in kWh's per year or Btu's per year as defined in 4.2.2.

EC04OC91.029where:EffO=EffAO or EffTO, the cooking efficiency of the oven(s) as determined according to 4.1.3.1 or 4.1.3.2.EffCT=cooking top efficiency as determined in 4.2.1.3.The constants 0.145 and 0.855 are fractions of the annual useful energy output represented by oven usage and cooking top usage respectively.

4.3.3 Conventional range energy factor. Calculate the energy factor, or the ratio of the useful cooking energy output to the total energy input on a yearly basis for the complete range, RR, and defined as:

EC04OC91.030where:OR=1,108,000 Btu's, annual useful cooking energy output.ER=total annual energy consumption as determined in 4.3.1 and with all values for electrical energy converted from kilowatt-hours to Btu's by multiplying by 3,412 Btu's per kWh.

EC04OC91.031where:W=size of the test load, in milliliters TM=TF−TI,where:TF=the final temperature expressed in °F of the test load as defined in 3.2.3.TI=the initial temperature expressed in °F of the test load as defined in 3.2.3.F=.000646 Watt-hr/Ml-°F (used to convert milliliters of water times degrees Fahrenheit to watt-hours).EM=the energy consumption as defined in 3.2.3.

EC04OC91.033where:OM=34.2 kWh's per year, the microwave oven annual useful cooking energy output.EffMO=the microwave oven cooking efficiency as defined in 4.4.2.PMC=the power rating of features (such as clocks), expressed in watts. The power rating is the power drawn from the electrical supply when the microwave oven is turned off.Hk=8.76, the number of thousand hours in a year.

4.4.4Microwave oven energy factor. Calculate the energy factor or the ratio of the useful cooking energy output to total energy input on a yearly basis, RMO, and defined as:

4.5.1.1Annual energy consumption of the conventional oven for cooking.

4.5.1.1.1Annual primary energy consumption. Calculate the annual primary energy consumption for cooking of a conventional oven in combination with a microwave oven, ECOM, expressed in Btu's for gas ovens and in kilowatt-hours for electric ovens, with the following equation:

ECOM=K×ECO,where:K=0.82, estimated fraction of usage for a conventional oven due to microwave oven usage.ECO=energy consumption as calculated in 4.1.2.1.1.

4.5.1.1.2Annual secondary energy consumption for a gas oven. Calculate the annual secondary energy consumption for cooking of a gas oven in combination with a microwave oven, ESOM, expressed in kilowatt-hours, with the following equation:

ESOM=K×ESO,where:K=0.82, as defined in 4.5.1.1.1.ESO=energy consumption as calculated in 4.1.2.1.2.

4.5.1.2Annual energy consumption of the conventional cooking top. Calculate the annual energy consumption of a cooking top in combination with a microwave oven, ECAM, expressed in kilowatt-hours for an electric cooking top and in Btu's for a gas cooking top, with the following equations:

For electric cooking tops:

ECAM=L×ECA,where:L=0.85, estimated fraction of usage for a conventional cooking top due to mircowave oven usage.ECA=energy consumption as calculated in 4.2.2.1.

For gas cooking tops:

ECAM=(L×ECC)+EPC,where:ECC=annual energy consumption for cooking as determined in 4.2.2.2.1.EPC=annual energy consumption of surface pilots as determined in 4.2.2.2.2.L=0.85, as defined above.

4.5.1.3.1Microwave/conventional electric range. Calculate the total annual energy consumption of all-electric microwave/conventional range, ERM, expressed in kilowatt-hours per year with the following equation:

ERM=ECOM+ESC+ECL+ECAM+EMO,where:ECOM=primary energy consumption for oven cooking as determined in 4.5.1.1.1.ESC=primary energy consumption for oven self-cleaning as determined in 4.1.2.3.1.ECL=conventional oven clock energy consumption as determined in 4.1.2.4.ECAM=cooking top energy consumption as determined in 4.5.1.2.EMO=microwave oven energy consumption as determined in 4.4.3.

4.5.1.3.2Microwave/conventional gas range. For a microwave/conventional range with a conventional gas cooking top and gas oven calculate the total annual gas consumption, ERMG, in Btu's and defined as:

ERMG=ECOM+ESC+ECAM+EPO+EPC,where:ECOM, ESC, and ECAM are the same as defined in 4.5.1.3.1.

EPO=gas oven pilot energy consumption as determined in 4.1.2.2.

EPC=gas cooking top pilot energy consumption as determined in 4.2.2.2.2.

Calculate the total annual electrical energy consumption, ERME, in kilowatt-hours and defined as:ERME=EMO+ESOM+ESS+ECL,where:EMO=microwave oven energy consumption as determined in 4.4.3.ESOM=secondary energy consumption for oven cooking as determined in 4.5.1.1.2.ESS=secondary energy consumption for oven self-cleaning as determined in 4.1.2.3.2.ECL=conventional oven clock energy consumption as determined in 4.1.2.4.The total annual energy consumption of a gas and electric microwave/conventional range, ERM, is comprised of ERMG, expressed in Btu's, and ERME, expressed in kilowatt-hours, as computed above.

EC04OC91.035where:EffAO=cooking efficiency of conventional oven as determined in 4.1.3.1.EffCT=cooking efficiency of the cooking top as determined in 4.2.1.3.EffMO=microwave oven cooking efficiency as determined in 4.4.2.The constants 0.1250, 0.7643 and 0.1107 are the fractions of total annual useful energy output represented by conventional oven usage, cooking top usage, and microwave oven usage respectively.

1.2“Bone-dry” means a condition or a load of test cloth which has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed and weighed before cool down, and then dried again for 10 minute periods until the final weight change of the load is 1 percent or less.

1.3“Clothes container” means the compartment within the clothes washer that holds the clothes during the operation of the machine.

1.4“Compact” refers to a clothes washer which has a clothes container capacity of less than 1.6 cubic feet.

1.5“Deep rinse cycle” refers to a rinse cycle in which the clothes container is filled with water to a selected level and the clothes load is rinsed by agitating it or tumbling it through the water.

1.6“Front-loader” means a clothes washer which sequentially rotates or tumbles portions of the clothes load above the water level allowing the clothes load to fall freely back into the water. The principal axis of the clothes container is in a horizontal plane and the access to the clothes container is through the front of the machine.

1.7“HWL—1” refers to the test standard published by the AHAM and titled “American National Standard Z224.1-1971 Performance Evaluation Procedure for Household Clothes Washers,” December 1971 designated at HLW-1.

1.9“Make-up water” means the amount of fresh water needed to supplement the amount of stored water pumped from the external laundry tub back into the clothes washer when the suds-return feature is activated in order to achieve the required water fill level in the clothes washer.

1.11“Sensor filled” refers to a type of water fill control which automatically terminates the fill control which automatically terminates the fill when the water reaches an appropriate level in the tub.

1.12“Spray rinse cycle” refers to a rinse cycle in which water is sprayed onto the clothes load for a definite period of time without maintaining any specific water level in the clothes container.

1.13“Standard” refers to a clothes washer which has a clothes container capacity of 1.6 cubic feet or greater.

1.14“Suds-return” means a feature or option on a clothes washer which causes the stored wash water obtained by utilizing the suds-saver feature to be pumped from the external laundry tub back into the clothes washer.

1.15Suds-saver” means a feature or option on a clothes washer which allows the user to store used wash water in an external laundry tub for use with subsequent wash loads.

1.16“Temperature use factor” means the percentage of the total number of washes a user would wash with a particular wash/rinse temperature setting.

1.17“Time filled” refers to a type of water fill control which uses a combination of water flow control in conjunction with time to terminate the water fill cycle.

1.18“Top-loader” means a clothes washer that flexes and oscillates the submerged clothes load through the water by mean of mechanical agitation or other movement. The principal axis of the clothes container is in a vertical plane and the access to the clothes container is through the top of the clothes washer.

2. testing conditions

2.1Installation. Install the clothes washer in accordance with manufacturer's instructions.

2.2Electrical energy supply. Maintain the electrical supply to the clothes washer at 120 volts ±2 volts. Disconnect all console lights or other lighting systems on the clothes washer which do not consume more than 10 watts during the clothes washer test cycle.

2.3Water temperature. The temperature of the water supply shall be maintained at 100° F ±10° F for all clothes washers not equipped with thermostatically controlled inlet water valves. For clothes washers equipped with thermostatic valves, the temperature of the hot water supply shall be maintained at 140° F ±5° F and the cold water supply shall be maintained at 60° F ±5° F. The water meter shall be installed in both the hot and cold water lines to measure water consumption.

2.4Water pressure. The dynamic water pressure at the hot and cold water inlet connection of the machine shall be equalized at 35 pounds per square inch gauge (psig) ±2.5 psig. The dynamic water pressure for a single water inlet connection shall be maintained at 35 psig ±2.5 psig. The water pressure gauge shall be installed in both the hot and cold water lines to measure water pressure.

2.5Instrumentation. Perform all test measurements using the following instruments, as appropriate:

2.5.1Weighing scales.

2.5.1.1Weighing scale for test cloth. The scale shall have a range of 0 to a maximum of 30 pounds with a resolution of at least 0.2 ounces and a maximum error no greater than 0.3 percent of any measured value within the range of 3 to 15 pounds.

2.5.1.2Weighing scale for clothes container capacity measurements. The scale should have a range of 0 to a maximum of 500 pounds with a resolution of 0.50 pounds and a maximum error no greater than 0.5 percent of the measured value.

2.5.2Watt-hour meter. The watt-hour meter shall have a resolution of no larger than 1 watt-hour and a maximum error no greater than 2 percent of the measured value for any demand greater than 50 watts per hour.

2.5Thermometer. The thermometer shall have an error no greater than ±1° F over the range of 32° F to 200° F.

2.5.4Water meter. The water meter shall have a resolution no larger than 0.1 gallons and a maximum error no greater than 2 percent for all water flow rates from 1 to 5 gallons per minute.

2.5.5Water pressure gauge. The water pressure gauge shall have a resolution of 1 pound per square inch gauge (psig) and shall have an error no greater than 5 percent of any measured value over the range of 32.5 to 37.5 psig.

2.6Test cloths.

2.6.1Energy test cloth. The energy test cloth shall be clean and consist of the following:

(a) Pure finished bleached cloth, made with a momie or granite weave, which is 50 percent cotton and 50 percent polyester and weighs 5.75 ounces per square yard and has 65 ends on the warp and 57 picks on the fill.

(b) Cloth material that is 24 inches by 36 inches and has been hemmed to 22 inches by 34 inches before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width.

(c) The number of test runs on the same energy test cloth shall not exceed 25 runs.

2.6.2Energy stuffer cloths. The energy stuffer cloths shall be made from energy tests cloth material and shall consist of pieces of material that are 12 inches by 12 inches and have been hemmed to 10 inches by 10 inches before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width. The number of test runs on the same energy stuffer cloth shall not exceed 25 runs.

2.7Composition of test loads.

2.7.1Seven pound test load. The seven pound test load shall consist of bone-dry energy test cloths which weigh 7 pounds ±0.07 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths.

2.7.2Three pound test load. The three pound test load shall consist of bone-dry energy test cloths which weigh 3 pounds ±0.03 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths.

2.8.2.1Standard size front-loader clothes washer. When the maximum water fill level is being tested, the test load shall be seven pounds as described in 2.7.1. When the minimum water fill level is being tested, the test load shall be three pounds as described in 2.7.2.

2.8.2.2Compact size front-loader clothes washer. When either the maximum or minimum fill levels are being tested, the test load shall be three pounds as described in 2.7.2.

2.8.3Method of loading. Load the energy test cloths by grasping them in the center, shaking them to hang loosely and then dropping them into the clothes container prior to activating the clothes washer.

2.9Preconditioning. If the clothes washer has not previously been tested nor filled with water in the preceding 96 hours, precondition it by running it through a cold rinse cycle and then draining it to insure that the hose, pump, and sump are filled with water.

2.10Clothes washer setting. Set the wash time for approximately 10 minutes, but the actual wash time (period of agitation) shall not be less than 9.75 minutes. Where controls are provided for agitation and spin speed, set them for the normal cycle.

3. test measurements

3.1Clothes container capacity. Measure the entire volume which a dry clothes load could occupy within the clothes container, according to the procedures described in 3.1.1 and 3.1.2.

3.1.1Top-loaders clothes washers. Line the clothes container with 2 mil plastic sheet or use some other method to prevent the water from entering the outer tub container. The agitator shall be in place. Fill the clothes container with water to its uppermost edge, (This filling procedure may require overriding of the fill level control, or manually completing the fill to the top of the container after the fill sensor terminates the fill at maximum level.) Record the weight of the machine before filling it with water and then after filling it with water. The clothes container capacity is calculated as follows:

C=W/d.

C=Capacity in cubic feet.

W=Mass of water in pounds.

d=Density of water at the measured temperature in pounds per cubic foot (at 140° F).

3.1.2Front-loader clothes washer. Position the tub and shaft axis vertically with the shaft downward. Line the clothes container with 2 mil plastic sheet or use some other method to prevent the water from entering the outer tub container. The agitator shall be in place. Fill the clothes container with water to its uppermost edge. (This filling procedure may require overriding of the fill level control, or manually completing the fill to the top of the container after the fill sensor terminates the fill at maximum level.) Record the weight of the machine before filling it with water and then after filling it with water. The clothes container capacity is calculate as follows:

C=W/d

C=Capacity in cubic feet.

W=Mass of water in pounds.

d=Density of water at the measured temperature in pounds per cubic foot (at 140° F).

3.2Test cycle. Establish the testing conditions set forth in 2 of this Appendix.

3.2.1Per-cycle electrical energy consumption. Set the water level selector at a maximum fill and insert the appropriate test load, if applicable. Activate the normal cycle of the clothes washer and also any suds-saver switch.

3.2.1.1Measure the electrical energy consumption of the clothes washer for a complete normal cycle.

3.2.2Hot water consumption for a normal cycle with the water level selector at maximum fill.

3.2.2.1Set the water level selector at maximum fill and insert the appropriate test load, if applicable. Activate the normal cycle of the clothes washer and also any suds-saver switch.

3.2.2.2For automatic clothes washers set the wash/rinse temperature selector to the hottest setting available (hot/warm). For semi-automatic clothes washers open the hot water faucet valve completely and close the cold water faucet valve to achieve the hottest setting (hot/hot).

3.2.2.3Measure the number of gallons of hot water used to fill the tub for the wash cycle.

3.2.2.4Measure the total number of gallons of hot water used for all deep rinse cycles.

3.2.2.5Measure the total gallons of hot water used for all spray rinse cycles.

3.2.2.6For automatic clothes washers repeat 3.2.2.3, 3.2.2.4, and 3.2.2.5 for each of the other wash/rinse temperature selections available that use hot water. For semi-automatic clothes washers repeat 3.2.2.3, 3.2.2.4, and 3.2.2.5 for Hot/Cold, Warm/Cold, Warm/Warm, and Warm/Cold temperature settings with the following water faucet valve adjustments:

3.2.2.7Set the suds-saver switch to activate the sud-return. Repeat 3.2.2.2 to 3.2.2.5 for a warm/cold temperature setting.

3.2.3Hot water consumption for a normal cycle with the water level selector at minimum fill. Set the water level selector at minimum fill and insert the appropriate test load, if applicable. Activate the normal cycle of the clothes washer and also any suds-saver switch. Repeat 3.2.2.2 through 3.2.2.7.

3.2.4Hot water consumption for clothes washers that incorporate a partial fill during the rinse cycle. Where the procedures in 3.2.2 and 3.2.3 cannot be used for clothes washers that incorporate a partial fill during the rinse cycle, activate any suds-saver switch and operate the cloths washer for the complete normal cycle at both the maximum water fill level and the minimum water fill level for each of the wash/rinse temperature selections available that use hot water. Measure the total hot water consumed during the complete normal cycle.

3.3Data recording. Record for each test cycle in 3.2.

3.3.1Total the kilowatt-hours of electrical energy, Me, consumed during the test to operate the clothes washer in 3.2.1.

3.3.2Total the hot water measured at maximum fill level for each wash/rinse temperature selection, Vi, excluding any fresh make-up water required to complete the fill during a suds-return cycle.

3.3.3Total the hot water measured at minimum fill level for each wash/rinse temperature selection, Vj, excluding any fresh make-up water required to complete the fill during a suds-return cycle.

3.3.4Total the hot water measured at maximum fill for the suds-return cycle, SH.

3.3.5Total the hot water measured at minimum fill for suds-return cycle, Sl.

4. calculation of derived results from test measurements

4.1Per-cycle temperature-weighted hot water consumption for maximum and minimum water fill levels. Calculate for the cycle under test the per-cycle temperature-weighted hot water consumption for the maximum water fill level, Vmax, and for the minimum water fill level, Vmin, expressed in gallons per cycle and defined as:

Vmax=X1 Σi=1n [Vi×TUFi]+X2[TUFw×SH]where

Vi=Reported hot water consumption in gallons per-cycle at maximum fill for each wash/cycle temperature selection, as provided in 3.2.2.

TUFi=Applicable temperature use factor corresponding to wash/rinse temperature selection as shown in 5 or 6.

n=Number of wash/rinse temperature selections available to the user for the clothes washer under test.

TUFw=Temperature use factor for warm wash setting.

For clothes washers equipped with suds-saver feature:

X1=Frequency of use without suds-saver feature=.86.

X2=Frequency of use with suds-saver feature=.14.

For clothes washers not equipped with suds-saver feature:

X1=1.0

X2=0.0

SH=Fresh make-up water measured during suds-return cycle at maximum water fill level.

andVmin=X1 Σj=1n [Vi×TUFi]+X2[TUFw×SL]where

Vi=Reported hot water consumption in gallons per cycle at minimum fill for each wash/rinse temperature selection, as provided in 3.3.3.

SL=Fresh make-up water measured during suds-return cycle at minimum water fill level.

n=As defined above.

TUFw=As defined above.

X1=As defined above.

X2=As defined above.

4.2 Total per-cycle hot water energy consumption for maximum and minimum water fill levels. Calculate the total per-cycle hot water energy consumption for the maximum water fill level, Emax and for the minimum water level, Emin, expressed in kilowatt-hours per cycle and defined as:

Emax=[Vmax×T×K×MF]where

MF=Multiplying factor to account for the absence of a test load=0.94 for top-loader clothes washers that are sensor filled, 1.0 for top-loader clothes washers that are time filled, and 1.0 for all front-loader clothes washers.

4.4Per-cycle machine electrical energy consumption. The value recorded in 3.3.1 is the per-cycle machine electrical energy consumption, ME, expressed in kilowatt-hours per cycle.

4.5Per-cycle water energy consumption using gas-heated or oil-heated water. Calculate for the normal cycle the per-cycle water consumption, ETG, using gas-heated or oil-heated water, expressed in Btu per cycle and defined as;

ETG=ET×1/e×3412 Btu/Kwh.where

e=Nominal gas or oil water heater efficiency=0.75.

ET=As defined in 4.3.

4.6Total per-cycle energy consumption when electrically heated water is used. Calculate for the normal cycle the total per-cycle energy consumption, ETE, using electrically heated water, expressed in kilowatt-hours per cycle and defined as:

ETE=ET+ME

ME=As defined in 4.4

ET=As defined in 4.3.

5. applicable temperature use factors for determining hot water usage for various wash/rinse temperature selections for all automatic clothes washers

1.1“Annual performance factor” means the total heating and cooling done by a heat pump in a particular region in one year divided by the total electric power used in one year.

1.2“ARI” means Air-Conditioning and Refrigeration Institute.

1.3“ARI Standard 210-79” means the test standard published in 1979 by the ARI and titled “Standard for Unitary Air-Conditioning Equipment”.

1.4“ARI Standard 240-77” means the test standard published in 1977 by the ARI and titled “Standard for Air-Source Unitary Heat Pump Equipment”.

1.5“ARI Standard 320-76” means the test standard published in 1976 by the ARI and titled “Standard for Water-Source Heat Pumps”. The single number HSPF energy conservation standard for central air conditioning heat pumps specified in section 325(d)(2) (A) and (B) is based on Region IV and the standardized DHR found in section 6 of this appendix, nearest the capacity measured in the 47 ° F test.

1.6“ASHRAE” means the American Society of Heating, Refrigeration and Air-Conditioning Engineers, Inc.

1.7“ASHRAE Standard 37-78” means the test standard published by ASHRAE in 1978 and titled “Methods of Testing for Rating Unitary Air-Conditioning and Heat Pump Equipment.”

1.8“Continuously recorded” means a method of recording measurements in intervals no greater than 5 seconds.

1.9“Cooling load factor (CLF)” means the ratio of the total cooling done in a complete cycle of a specified time period, consisting of an “on” time and “off” time, to the steady-state cooling done over the same period at constant ambient conditions.

1.10“Cyclic Test” means a test where the indoor and outdoor conditions are held constant, but the unit is manually turned “on” and “off” for specific time periods to simulate part-load operation.

1.11“Degradation coefficient (CD)” means the measure of the efficiency loss due to the cycling of the unit.

1.12“Demand-defrost control system” means a system which is designed to perform the defrost function on the outdoor coil of the heat pump only when a predetermined degradation of performance is measured.

1.13“Design heating requirement (DHR)” is the amount of heating required to maintain a given indoor temperature at a particular outdoor design temperature.

1.14“Dry-coil test” means a test conducted at a wet-bulb temperature and a dry-bulb temperature such that moisture will not condense on the evaporator coil of the unit.

1.15“Heating seasonal performance factor (HSPF)” means the total heating output of a heat pump during its normal annual usage period for heating divided by the total electric power input during the same period.

1.16“Heating load factor (HLF)” means the ratio of the total heating done in a complete cycle of a specified time period, consisting of an “on” time “off” time, to the steady state heating done over the same period at constant ambient conditions.

1.17“Latent cooling” means the amount of cooling in Btu's necessary to remove water vapor from the air passing over the indoor coil by condensation during a period of time.

1.19“Seasonal energy efficiency ratio (SEER)” means the total cooling of a central air conditioner in Btu's during its normal annual usage period for cooling divided by the total electric power input in watt-hours during the same period.

1.20“Sensible cooling” means the amount of cooling in Btu's performed by a unit over a period of time, excluding latent cooling.

1.21“Single package unit” means any central air conditioner in which all the major assemblies are enclosed in one cabinet.

1.22“Split system” means any central air conditioner in which one or more of the major assemblies are separate from the others.

1.23“Steady-state test” means a test in which all indoor and outdoor conditions are held constant and the unit is in non-changing operating mode.

1.24“Temperature bin” means a 5° F increment over a dry-bulb temperature range of 65° F through 104° F for the cooling cycle and −25° F through 64° F for the heating cycle.

1.25“Time-temperature defrost control system” means a system which automatically provides the defrost function at a predetermined time interval whenever the outdoor temperature drops below a level where frosting will occur.

1.26“Test condition tolerance” means the maximum permissible variation of the average of the test observations from the standard or desired test condition as provided in 6.1.1, 6.2.1, 6.2.2, and 6.2.3 of this Appendix.

1.27“Test operating tolerance” means the maximum permissible difference between the maximum and the minimum instrument observation during a test as provided in 6.1.1, 6.2.1, 6.2.2, and 6.2.3 of this Appendix.

1.28“Wet-coil test” means a test conducted at a wet-bulb temperature and a dry-bulb temperature such that moisture will condense on the test unit evaporator coil.

2. testing required

2.1Testing required for air source cooling only units. Two steady state wet coil tests required to be performed, test A and test B. Test A is to be conducted as an outdoor dry bulb temperature of 95° F and test B at 82° F. Test C and D are optional tests to be conducted when cyclic performance parameters are to be measured in order to determine the degradation coefficient, CD Test C is a steady state dry coil test conducted at an outdoor dry bulb temperature of 82° F. Test D is a cyclic test also conducted at an outdoor dry bulb temperature of 82° F. In lieu of conducting tests C and D, an assigned value of 0.25 may be used for the degradation coefficient, CD.

2.1.1Testing required for units with single speed compressors and single speed condenser fans. Test A and test B shall be performed according to the test procedures outlined in 4.1 of this Appendix. In addition, the cyclic performance shall be evaluated by conducting test C and D according to the requirements outlined in 4.1 of this Appendix.

2.1.2Testing required for units with single speed compressors and multiple-speed condenser fans. The test requirements for multiple-speed condenser fan units shall be the same as described in section 2.1.1 for single speed condensor fan units.

2.1.3Testing required for units with two-speed compressors, two compressors, or cylinder unloading. The test requirements for two-speed compressor units, two compressor units, or units with cylinder unloading are the same as described in 2.1.1 of this Appendix except that test A and test B shall be performed at each compressor speed or at each compressor capacity.

2.1.4Testing required for units with two-speed compressors, two compressors, or cylinder unloading capable of varying the sensible to total (S/T) capacity ratio. When a unit employing a two-speed compressor, two compressors, or cylinder unloading provides a method of varying the ratio of the sensible cooling capacity to the total cooling capacity, (S/T), the test requirements are the same as for two-speed compressor units as described in 2.1.3 of this Appendix.

2.1.6Testing required for units with variable-speed compressors. The tests for variable-speed equipment consist of five (5) wet coil tests and two (2) dry coil tests. Two of the wet coil tests, A and B, are conducted at the maximum speed. Two wet coil tests, B2 and low temperature test, are conducted at the minimum speed. The fifth wet coil test is conducted at an intermediate speed. Dry coil tests, C and D, are conducted at the minimum speed if the coefficient of degradation (CD) value of 0.25 is not adopted. The test conditions and procedures for the above are outlined in sections 3.1 and 4.1 of this Appendix.

2.1.7Testing required for split-type ductless systems. The tests for split-type ductless systems are determined by the type of compressor installed in the outdoor unit. For the appropriate tests refer to sections 2.1.1, 2.1.2, 2.1.3, 2.1.4, 2.1.5, or 2.1.6 of this Appendix.

2.2Testing required for air source heating only units. Four types of tests are required to be performed: High Temperature, Cyclic, Frost Accumulation, and Low Temperature. In lieu of conducting the Cyclic Test an assigned value of 0.25 may be used for the degradation coefficient, CD.

2.2.1Testing required for units with single speed compressors. Units with single speed compressors shall be subjected respectively to the High Temperature Test at 47° F described in section 3.2.1.1, the Cyclic Test as described in section 3.2.1.2, the Frost Accumulation Test as described in section 3.2.1.3, and the Low Temperature Test as described in section 3.2.1.4.

2.2.2Testing required for units with two-speed compressors, two compressors, or cylinder unloading. With the unit operating: at high compressors speed (two-speed compressor), with both compressors in operation (two-compressors), or at the maximum capacity (cylinder unloading); the following tests are required to be performed on all units; the High Temperature Test at 47° F, the Frost Accumulation Test, and the Low Temperature Test. An additional test (cyclic at 47° F) is required, with the unit operating at the high compressor speed (two-speed compressor), with both compressors in operation (two compressors), or at the maximum capacity (cylinder unloading); if the normal mode of operation requires cycling “on” and “off” of the compressor(s) at high speed or maximum capacity.

With the unit operating: at the low compressor speed (two-speed compressor), with the single compressor which normally operates at low loads (two compressors), or at the low compressor capacity (cylinder unloading); the following tests are required to be performed on all units: the High Temperature Test at 47° F, the High Temperature Test at 62° F, and the Cyclic Test. Additional tests, (Frost Accumulation Test and Low Temperature Test) are required, with the unit operating: on low compressor speed (two-speed compressor), with the single compressor which normally operates at low loads (two compressors) or at the low compressor capacity (cylinder unloading), if the unit's low speed, one compressor or low capacity performance at and below 40° F is needed to calculate its seasonal performance.

2.2.4Testing required for units with variable-speed compressors. There are seven basic tests and one optional test for variable-speed units. Three tests (high temperature test, low temperature test, and frost accumulation test) are performed at the maximum speed. Three tests (two high temperature and one cyclic test) are performed with the unit operating at minimum speed. A second frost accumulation test is performed at an intermediate speed. The intermediate speed is the same as in the cooling mode.

In lieu of the maximum speed frost accumulation test, two equations are provided in section 4.2 of this Appendix. In lieu of the cyclic test an assigned value of 0.25 may be used for the coefficient of degradation CD. The optional test is a nominal capacity test applicable to units which have a heating mode maximum speed greater than the cooling mode maximum speed. The conditions and procedures for the above tests are described in sections 3.2 and 4.2 respectively, of this Appendix.

2.2.5Testing required for split-type ductless system. The type of compressor installed in the outdoor unit determines the testing required, refer to previous sections 2.2.1, 2.2.2, 2.2.3, or 2.2.4. The conditions and procedures will be modified as indicated for the various types as stated in sections 3.2 and 4.2 respectively.

2.3Testing required for air source units which provide both heating and cooling. The requirements for units which provide both heating and cooling shall be the same as the requirements in Section 2.1. and 2.2 of this Appendix.

3. testing conditions

3.1Testing conditions for air source cooling only units. The test room requirement and equipment installation procedures are the same as those specified in sections 11.1 and 11.2 of ASHRAE Standard 37-78. Units designed for both horizontal and vertical installation shall be tested in the orientation in which they are most frequently installed. All tests shall be performed at the normal residential voltage and frequency for which the equipment is designed (either 115 or 230 volts and 60 hertz), the test installation shall be designed such that there will be no air flow through the cooling coil due to natural or forced convection while the indoor fan is “off”. This shall be accomplished by installing dampers upstream and downstream of the test unit to block the off period air flow. Values of capacity for rating purposes are to be rounded off to the nearest 100 Btu/hour for capacities less than 20,000 Btu/hour; to the nearest 200 Btu/hour for capacities between 20,000 and 37,999 Btu/hour; and to the nearest 500 Btu/hour for capacities between 38,000 and 64,999 Btu/hour.

The following conditions listed in ARI Standard 210.79 shall apply to all tests performed in Section 3.1 of this Appendix:

5.1.3.4Cooling Coil Air Quantity.5.1.3.6Requirements for Separated Assemblies.3.1.1Testing conditions for units with single speed compressors and single speed condenser fans.

3.1.1.1Steady state wet-coil performance tests (Test A and Test B). Test A and test B shall be performed with the air entering the indoor side of the unit having a dry-bulb temperature of 80° F and a wet-bulb temperature of 87° F. The dry-bulb temperature of the air entering the outdoor side of the unit shall be 95° F in test A and 82° F in test B. The temperature of the air surrounding the outdoor side of the unit in each test shall be the same as the outdoor entering air temperature except for units or sections thereof intended to be installed only indoors, in which case the dry-bulb temperature surrounding that indoor side of the unit shall be 80° F. For those units which reject condensate to the condenser, located in the outdoor side of the unit, the outdoor wet-bulb temperature surrounding the outdoor side of the unit shall be 75° F in test A and 65° F in test B.

3.1.1.2Steady state dry coil performance test (Test C) and cyclic dry coil performance test (Test D). Test C and test D shall be performed with the air entering the indoor side of the unit having a dry-bulb temperature of 80° F and a wet-bulb temperature which does not result in formation of condensate on the indoor coil. (It is recommended that an indoor wet-bulb temperature of 57° F or less be used.) The dry-bulb temperature of the air entering the outdoor portion of the unit shall be 82° F. The outdoor portion of the unit shall be subject to the same conditions as the requirements for conducting test B as stated previously in section 3.1.1.1. Test C shall be conducted with the unit operating steadily. Test D shall be conducted by cycling the unit “on” and “off” by manual or automatic operation of the normal control circuit of the unit. The unit shall cycle with the compressor “on” for 6 minutes and “off” for 24 minutes. The indoor fan shall also cycle “on” and “off”, the duration of the indoor fan “on” and “off” periods being governed by the automatic controls which the manufacturer normally supplies with the unit. The results of tests C and D shall be used to calculate a degradation coefficient, CD by the procedures outlined in 5.1 of this Appendix.

3.1.2Testing conditions for units with single speed compressors and multiple-speed condenser fans. The condenser fan speed to be used in test A shall be that speed which normally occurs at an outdoor dry-bulb temperature of 95° F, and for test B, the fan speed shall be that which normally occurs at an outdoor dry-bulb temperature of 82° F. If elected to be performed, tests C and D shall be conducted at the same condenser fan speed as in test B.

3.1.3Testing conditions for units with two-speed compressors, two compressors, or cylinder unloading. The condenser fan speed used in conducting test A at each compressor speed shall be that which normally occurs at an outdoor dry-bulb temperature of 95° F. For test B, the condenser fan speed at each compressor speed shall be that which normally occurs at an outdoor dry-bulb temperature of 82° F. If elected to be performed, tests C and D shall be conducted at the low compressor speed with the same condenser fan speed as used in test B. For those two-speed units in which the normal mode of operation involves cycling the compressor “on” and “off” at high speed, tests C and D shall also be performed with the compressor operating at high speed and at a condenser fan speed that normally occurs at test A ambient conditions. Units consisting of two compressors are subject to the same requirements as those units containing two-speed compressors, except that when operated at high speed, both compressors shall be operating and when operating at low speed, only the compressor which normally operates at an outdoor dry-bulb temperature of 82° F shall be operating.

In lieu of conducting tests C and D, an assigned value of 0.25 may be used for the degradation coefficient, CD , at each compressor speed. If the assigned degradation coefficient is used for one compressor speed it must also be used for the other compressor speed.

In the case of units with cylinder unloading, the loaded and the unloaded conditions correspond to high and low compressor speed on two-speed units respectively.

3.1.4Testing conditions for units with two-speed compressors, two compressors, or cylinder unloading capable of varying the sensible to total (S/T) capacity ratio. The mode of operation selected for controlling the S/T ratio in the performance of test A and test B at each compressor speed shall be such that it does not result in an operating configuration which is not typical of a normal residential installation. If elected to be performed, tests C and D shall be conducted at low compressor speed (single compressor operating) with the same S/T control mode as used in test B when performed at the low compressor speed. Likewise, tests C and D shall also be conducted at high compressor speed (two compressors operating) and with the same S/T control mode as in test A when performed at the high compressor speed.

In the case of units with cylinder unloading, the loaded and unloaded conditions correspond to high and low compressor speed on two-speed units respectively.

3.1.6Additional testing conditions for cooling-only units with variable-speed compressors. For cooling-only units and air-source heat pumps with varaible-speed compressors, the air flow rate at fan speeds less than the maximum fan speed shall be determined by using the fan law for a fixed resistance system. The air flow rate is given by the ratio of the actual fan speed to the maximum fan speed multiplied by the air flow rate at the maximum fan speed. Minimum static pressure requirements only apply when the fan is running at the maximum speed.

3.1.6.1Testing conditions for steady-state wet coil tests. Tests A and B shall be performed at the maximum speed at conditions specified in section 3.1.1 of this Appendix. Test B2 and the low temperature test are performed at the minimum speed with outdoor dry bulb temperatures of 82°F and 67°F respectively. The intermediate speed wet coil test is performed at the outdoor dry bulb temperature of 87°F. For units which reject condensate the outdoor wet bulb temperature shall be maintained at 75°F for Test A, 65°F for Tests B and B2, 53.5°F for the low temperature test and 69°F for the intermediate test. The indoor conditions for all wet coil tests are the same as those given in section 3.1.1 of this Appendix.

3.1.6.2Test conditions for dry coil tests. Dry coil Tests C and D are conducted at an outdoor dry bulb temperature of 67°F. For units which reject condensate the outdoor wet bulb temperature shall be maintained at 53.5°F. The indoor dry bulb temperature shall be 80°F and the wet bulb temperature shall be sufficiently low so no condensation occurs on the evaporator (It is recommended that an indoor wet bulb temperature of 57°F or less be used).

3.1.7Split-type ductless systems. Test conditions shall be the same as those specified for the same single outdoor unit compressor type, assuming it was matched with a single indoor coil.

3.1.7.1Interconnection. For split-type ductless systems, all standard rating tests shall be performed with a minimum length of 25 feet of interconnecting tubing between each indoor fan-coil unit and the common outdoor unit. Such equipment in which the interconnection tubing is furnished as an integral part of the machine not recommended for cutting to length shall be tested with complete length of tubing furnished, or with 25 feet of tubing, whichever is greater. At least 10 feet of the interconnection tubing shall be exposed to the outside conditions. The line sizes, insulation and details of installation shall be in accordance with the manufacturer's published recommendation.

3.1.7.2Control testing conditions for split-type ductless systems. For split-type ductless systems, a single control circuit shall be substituted for any multiple thermostats in order to maintain a uniform cycling rate during test D and the high temperature heating cyclic test. During the steady-state tests, all thermostats shall be shunted resulting in all indoor fan-coil units being in operation.

3.1.7.3Split-type ductless systems with multiple coils or multiple discharge outlets shall have short plenums attached to each outlet. Each plenum shall discharge into a single common duct section, the duct section in turn discharging into the air measuring device (or a suitable dampering device when direct air measurement is not employed). Each plenum shall have an adjustable restrictor located in the plane where the plenums enter the common duct section for the purpose of equalizing the static pressures in each plenum. The length of the plenum is a minimum of 2.5×(A×B).5, A=width and B=height of duct or outlet. Static pressure readings are taken at a distance of 2×(A×B).5 from the outlet.

3.2Testing conditions for air source heating only units. The equipment under test shall be installed according to the requirements of Section 11.2 of ASHRAE Standard 37-78 and Section 5.1.4.5 of ARI Standard 240-77. Test chamber requirements are the same as given in Section 11.1 of ASHRAE Standard 37-78. Units designed for both horizontal and vertical installation shall be tested in the orientation in which they are most often installed. All tests shall be performed at the normal residential voltage and frequency for which the equipment is designed (either 115 or 230 volts and 60 hertz). Values of capacity for rating purposes are to be rounded off to the nearest 100 Btu/hour for capacities less than 20,000 Btu/hour; to the nearest 200 Btu/hour for capacities between 20,000 and 37,999 Btu/hour; and to the nearest 500 Btu/hour for capacities between 38,000 and 64,999 Btu/hour.

3.2.1Testing conditions for units with single speed compressors.

3.2.1.1High temperature test conditions. The High Temperature Test at 47° F shall be conducted at an outdoor dry-bulb temperature of 47° F and an outdoor wet-bulb temperature at 43° F. The High Temperature Test at 62° F shall be conducted at an outdoor dry-bulb temperature of 62° F and an outdoor wet-bulb temperature of 56.5° F. For both tests, the dry-bulb air temperature entering and surrounding the indoor portion of the unit shall be 70° F and a maximum wet-bulb temperature of 60° F. The duration of the tests shall be for a minimum of 1/2 hour.

3.2.1.2Cycling test conditions. The Cycling Test at 47° F shall be conducted at the same dry-bulb and wet-bulb temperature as the High Temperature Test at 47° F as described in 3.2.1.1. During the Cycling Test, the indoor fan shall cycle “on” and “off”, as the compressor cycles “on” and “off”, except that the indoor fan cycling times may be delayed due to controls that are normally installed with the unit. The compressor cycling times shall be 6 minutes “On” and 24 minutes “off.” The test installation shall be designed such that there will be no airflow through the indoor unit due to natural or forced convection while the indoor fan is “off.” This shall be accomplished by installing dampers upstream and downstream of the test unit to block the off period airflow.

3.2.1.3Frost accumulation test conditions. The dry-bulb temperature and the resultant dew-point temperature of the air entering the outdoor portion of the unit shall be 35° F and 30° F respectively. The indoor dry-bulb temperature shall be 70° F and the maximum indoor wet-bulb temperature shall be 60° F. The Frost Accumulation Test requires that the unit undergo a defrost prior to the actual test. The test then begins at defrost termination and ends at the next defrost termination. Defrost termination occurs when the controls normally installed within the unit are actuated to cause it to change defrost operation to normal heating operation. During the test, auxiliary resistance heaters shall not be employed during either the heating or defrost portion of the test.

3.2.1.4Low temperature test conditions. The Low Temperature Test shall be conducted at a dry-bulb temperature entering the outdoor portion of the unit of 17° F and a wet-bulb temperature of 15° F. The air entering the indoor portion of the unit shall have a dry-bulb temperature of 70° F and a maximum wet-bulb temperature of 60° F.

3.2.1.5Additional testing conditions. All tests shall be conducted at the indoor-side air quantities specified in Sections 4.1.4.3 and 5.1.4.6 and Table 2 of ARI Standard 240-77. The following conditions listed in ARI Standard 240-77 shall apply to all tests performed in Section 3.2 of this Appendix.

3.2.4Testing conditions for units with variable-speed compressors. The testing condition for variable-speed compressors shall be the same as those for single speed units as described in section 3.2.1 of this Appendix with the following exceptions; the cyclic test is performed with an outdoor dry bulb temperature of 62°F and a wet bulb temperature of 56.5°F. The optional, nominal capacity test shall be performed at the conditions specified for the 47°F high temperature test.

3.2.5Testing conditions for split-type ductless system. The testing conditions for split-type ductless systems shall be based on the type of compressor installed in the single outdoor unit. The heating mode shall have the same piping and control requirements as in 3.1.7.

5.4.4.4Outdoor-Side Air Quantity; and5.1.4.5Requirements for Separated Assemblies.In all tests, the specified dry-bulb temperature entering the outdoor portion of the unit also applies to the air temperature surrounding the outdoor portion of the unit. Similarly, models where portions are intended to be installed indoors shall have the air temperature surrounding that portion of the unit the same as the indoor air temperature.

3.2.2Testing conditions for units with two-speed compressors, two compressors or cylinder unloading. The testing conditions for two-speed compressors, two compressors, or cylinder unloading shall be the same as those for single speed units as described in 3.2.1.

3.3Testing conditions for air source units which provide both heating and cooling. The testing conditions for units which provide both heating and cooling shall be the same as the requirements in Sections 3.1 and 3.2 of this Appendix.

4.0Testing procedures. Measure all electrical inputs as described in the procedures below. All electrical measurements during all “on” and “off” periods shall include auxiliary power or energy (controls, transformers, crankcase heaters, etc.) delivered to the unit.

4.1Test procedures for air source cooling-only units. All steady-state wet- and dry-coil performance tests on single package units shall simultaneously employ the Air-Enthalpy Method (Section 3 of ASHRAE Standard 37-78) on the indoor side and one other method consisting of either the Air-Enthalpy Method or the Compressor Calibration Method (Section 4 of ASHRAE Standard 37-78 on the outdoor side. All steady-state wet- and dry-coil performance tests on split systems shall simultaneously employ the Air-Enthalpy Method or the Compressor Calibration Method on the indoor side and the Air-Enthalpy Method, the Compressor Calibration Method or the Volatile Refrigerant Flow Method (Section 5 of ASHRAE Standard 37-78) on the outside. All cyclic dry-coil performance tests shall employ the Air-Enthalpy Method, indoor side only. The values calculated from the two test methods must agree within 6 percent in order to constitute a valid test. Only the results from the Air-Enthalpy Method on the indoor side shall be used in the calculations in Section 5.1. Units shall be installed and tested in such a manner that when operated under steady-state conditions, the cooling coil and condenser coil air flows meet the requirements of Sections 5.1.3.4, 5.1.3.5, and 5.1.3.7 of ARI Standard 210.79.

4.1.1Test operating procedures.

4.1.1.1Steady-state wet-coil performance tests (Test A and Test B). Steady-state wet-coil performance tests (A and B) shall be conducted in accordance with the conditions described in sections 3.1.1.1, 3.1.2, 3.1.3, 3.1.4, and 3.1.5 of this Appendix and the procedures described for cooling tests in Section 11.3 of ASHRAE standard 37-78 and evaluated in accordance with the cooling-related requirements of Section 12 of the ASHRAE Standard 37-78. The test room reconditioning apparatus and the equipment under test shall be operated until equilibrium conditions are attained.

4.1.1.2Steady-state and cyclic dry-coil performance tests (Test C and Test D). The steady-state and cyclic dry-coil tests (C and D) shall be conducted as described below in accordance with the conditions described in sections 3.1.1.2, 3.1.2, 3.1.3, 3.1.4, and 3.1.5 of this Appendix. The results shall be evaluated in accordance with the cooling related requirements of Sections 12.1.5, 12.1.6, 12.1.7, of ASHRAE Standard 37.78. The test room reconditioning apparatus and the equipment under test shall be operated until equilibrium conditions are attained, but not for less than one hour before data for test C are recorded. For all equipment test methods including the Compressor Calibration Method, test C shall be performed with data recorded at 10-minute intervals until four consecutive sets of readings are attained with the tolerance prescribed in Section 11.6 of ASHRAE Standard 37-78. When the Air-Enthalpy Method is used on the outdoor side for test C, the requirements of this section shall apply to both the preliminary test and the regular equipment test; the requirements of Section 3.6 of ASHRAE Standard 37-78 shall also apply. Immediately after test C is completed the test unit shall be manually cycled “off” and “on” using the time periods from 3.1.1 of this Appendix until steadily repeating ambient conditions are again achieved in both the indoor and outdoor test chambers, but for not less than 2 complete “off”/“on” cycles. Without a break in the cycling pattern, the unit shall be run through an additional “off”/“on” cycle during which the test data required in 5.1 shall be recorded. During this last cycle, which is referred to as the test cycle, the indoor and outdoor test room ambient conditions shall remain within the tolerances specified in 4.1.3 of this Appendix during the cyclic dry-coil tests, all air moving equipment on the condenser side shall cycle “on” and “off” when the compressor cycles “on” and “off”. The indoor air moving equipment shall also cycle “off” as governed by any automatic controls normally installed with the unit. This last requirement applies to units having an indoor fan time delay. Units not supplied with an indoor fan time delay shall have the indoor air moving equipment cycle “on” and “off” as the compressor cycles “on” and “off.”

Cooling cyclic tests for variable-speed units shall be conducted by cycling the compressor 12 minutes “on” and 48 minutes “off”. The capacity shall be measured for the integration time (θ), which is the compressor “on” time of 12 minutes or the “on” time as extended by fan delay, if so equipped. The electrical energy shall be measured for the total integration time (θcyc) of 60 minutes. In lieu of conducting C and D tests, an assigned value of 0.25 shall be used for the degradation coefficient for cooling, CD.

4.1.1.3Testing procedures for triple-capacity compressors. (Reserved)

4.1.1.4Intermediate cooling steady-state test for units with variable-speed compressors. For units with variable-speed compressors, an intermediate cooling steady-state test shall be conducted in which the unit shall be operated at a constant, intermediate compressor speed (k=i) in which the dry/bulb and wet-bulb temperatures of the air entering the indoor coil are 80 °FDB and 67 °FWB and the outdoor coil are 87 °DB and 69 °FWB. The tolerances for the dry-bulb and wet-bulb temperatures of the air entering the indoor and outdoor coils shall be the test operating tolerance and test condition tolerance specified in Table 6.1.1 of this Appendix. The intermediate compressor speed shall be the minimum compressor speed plus one-third the difference between the maximum and minimum speeds of the cooling mode. (Inter. speed=min. speed+1/3 (max. speed−min. speed.) A tolerance of plus five percent or the next higher inverter frequency step from that calculated is allowed.

4.1.1.5Testing procedures for split-type ductless systems. Cyclic tests of ductless units will be conducted without dampers. The data cycle shall be preceded by a minimum of two cycles in which the indoor fan cycles on and off with the compressor. For the data cycle the indoor fan will operate three minutes prior to compressor cut-on and remain on for three minutes after compressor cut-off. The integration time for capacity and power shall be from compressor cut-on time to indoor fan cut-off time. The fan power for three minutes after compressor cut-off shall be added to the integrated cooling capacity.

4.1.2Test instrumentation. The steady-state and cyclic performance tests shall have the same requirements pertaining to instrumentation and data as those specified in Section 10 and Table II of ASHRAE Standard 37.78. For the cyclic dry-coil performance tests, the dry-bulb temperature of the air entering and leaving the cooling coil, or the difference between these two dry-bulb temperatures, shall be continuously recorded with instrumentation accurate to within ±0.3° F of indicated value and have a response time of 2.5 seconds or less. Response time in the time required for the instrumentation to obtain 63 percent of the final steady-state temperature difference when subjected to a step change in temperature difference of 15° F or more. Electrical measurement devices (watt-hour meters) used during all tests shall be accurate to within ±0.5 percent of indicated value.

4.1.3Test tolerances. All steady-state wet-and dry-coil performance tests shall be performed within the applicable operating and test condition tolerances specified in Section 11.6 and Table III of ASHRAE Standard 37-78.

4.1.3.1The indoor and outdoor average dry-bulb temperature for the cyclic dry coil test D shall both be within 1.0° F of the indoor and outdoor average dry bulb temperature for the steady-state dry coil test C, respectively.

4.1.3.2The test condition and test operating tolerances for conducting test D are stated in 6.1.1 of this Appendix. Variation in the test conditions greater than the tolerances prescribed in 6.1.1 of this Appendix shall invalidate the test. It is suggested that an electric resistance heater having a heating capacity approximately equal to the sum of the cooling capacity and compressor and condenser fan power should be installed in the outdoor test room and cycled “off” and “on” as the unit cycles “on” and “off” respectively to improve control in the outdoor test room. Similarly, an electric resistance heater having a heating capacity approximately equal to the cooling capacity of the unit could be installed in the indoor test room, and cycled “on” and “off” as the test unit cycles “on” and “off” to improve indoor room control.

4.2Testing procedures for air source heating only units.

4.2.1Test operating procedures. All High Temperature Tests, the Cyclic Test, the Frost Accumulation Test, and the low Temperature test shall have the performance evaluated by the Air-Enthalpy Method on the indoor side. In addition, the High Temperature Test and the Low Temperature Test shall have a simultaneous test method (as described in 4.1) used as a check. The values calculated from the two methods must agree within 6 percent in order to constitute a valid test. Only the results from the Air-Enthalpy Method on the indoor side shall be used in the calulations in section 5.2.

4.2.1.1Test procedure for high temperature test. When the outdoor Air-Enthalpy Method is used, the outdoor chamber must not interfere with the normal air circulating pattern during the preliminary test. It is necessary to determine and adjust for system resistance when the outdoor air measuring apparatus is attached to the outdoor portion of the unit. The test room apparatus and test units must be operated for at least one hour with at least 1/2 hour at equilibrium and at the specified test conditions prior to starting the test. The High Temperature Test shall then be conducted for a minimum of 1/2 hour with intermittent data being recorded at 10-minute intervals. For all units, especially those having controls which periodically cause the unit to operate in defrost mode, attention should be given to prevent defrost during the High Temperature Test. Units which have undergone a defrost should operate in the heating mode for at least 10-minutes after defrost termination prior to the start of the test. When the outdoor Air-Enthalpy Method is used as a second test then a preliminary test must be conducted for a minimum of 30 minutes with 4 or more sets of data recorded at 10 minute intervals, all remaining requirements of Section 3.6.1 in the ASHRAE Standard 37-78 shall then apply in conducting the preliminary test for the outdoor air enthalpy method. For some units, at the ambient condition of the test, frost may accumulate on the outdoor coil. If the supply air temperature or the difference between the supply air temperature and the indoor air entering temperature has decreased by more than 1.5° F at the end of the test, the unit shall be defrosted and the test restarted. Only the results of this second High Temperature Test shall be used in the heating seasonal performance calculation in section 5.2. Prior to beginning the High Temperature Test, a unit shall operate in the heating mode for at least 10 minutes after defrost termination to establish equilibrium conditions for the unit and the room reconditioning apparatus. The High Temperature Test may only begin when the test unit and room conditions are within the test condition tolerances specified in Section 6.2.1 of this Appendix.

4.2.1.2Test procedures for the cyclic test. The cyclic test shall follow the High Temperature Test and by cycled “on” and “off” as specified in 3.2.1.2 until steadily repeating ambient conditions are achieved for both the indoor and outdoor test chambers, but for not less than 2 complete “off”/“on” cycles. Without a break in the cycling pattern, the unit shall be operated through an additional “off”/“on” cycle, during which the required test data shall be recorded. During the last cycle, which is referred to as the test cycle, the indoor and outdoor test room ambient conditions shall remain within the tolerance specified in section 6.2.2. of this Appendix. If, prior to the High Temperature Test, the unit underwent a defrost cycle to rid the outdoor coil of any accumulated frost, then prior to cycling the unit “off” and “on” it should be made to undergo a defrost. After defrost is completed and before starting the cycling process, the unit shall be operated continuously in the heating mode for a least 10 minutes to assure that equilibrium conditions have again been established for the unit and the room conditioning apparatus. Cycling the unit may begin when the test unit and room conditions are within the High Temperature Test condition tolerances specified in section 6.2.1 of this Appendix. Attention should be given to prevent defrost after the cycling process has begun.

The cycle times for variable-speed units is the same as the cyclic time in the cooling mode as specified in section 4.1.1.2 of this Appendix. Cyclic tests of split-type ductless units will be conducted without dampers, and the data cycle shall be preceded by a minimum of two cycles in which the indoor fan cycles on and off with the compressor. During the data cycle for the split type ductless units, the indoor fan will operate three minutes prior to compressor “cut-on” and remain on for three minutes after compressor “cut-off”. The integration time for capacity and power will be from compressor “cut-on” time to indoor fan “cut-off” time. The fan power for the three minutes after compressor “cut-off” shall be subtracted from the integrated heating capacity. For split-type ductless systems which turn the indoor fan off during defrost, the indoor supply duct shall not be blocked.

4.2.1.3Test procedures for the frost accumulation test. The defrost controls shall be set at the normal settings which most typify those encountered in Region IV as described in section 6.2.4 and 6.2.5 of this Appendix. The test room reconditioning equipment and the unit under test shall be operated for at least 1/2 hour prior to the start of a “preliminary” test period. The preliminary test period and the test period itself are to be conducted within the test tolerances given in section 4.2.3.3 of this Appendix. In some cases, the preliminary defrost cycle may be manually induced, however, it is important that the normally operating controls govern the defrost termination in all cases. For units containing defrost controls which are likely to cause defrost at intervals less than one hour when the unit is operating at the required test conditions, the preliminary test period shall start at the termination of a defrost cycle which automatically occurs and shall end at the termination of the next automatically occurring defrost cycle. For units containing defrost controls which are likely to cause defrost at intervals exceeding one hour when operating at the required test condition, the preliminary test period consists of “heating-only” preliminary operation for at least one hour, after which a defrost may be manually or automatically induced. The test period then begins at the termination of this defrost cycle and ends at the termination of the next automatically occurring defrost cycle. If the unit has not undergone a defrost after 12 hours, then the tests shall be concluded and the results calculated for this 12-hour period. For units which turn the indoor fan off during defrost the indoor supply duct shall be blocked during all defrost cycles to prevent natural or forced convection through the indoor unit. During defrost, resistance heaters normally installed with the unit shall be prevented from operating.

For units with variable-speed compressors, the frost accumulation test at the intermediate speed shall be conducted such that the unit will operate at a constant, intermediate compressor speed (k=i) as determined in section 4.1.1.4 of this Appendix. The following two equations may be used in lieu of the frost accumulation test for variable-speed.

EC04OC91.039

4.2.1.4Test procedures for the low temperature test. Where applicable, the High Temperature Test preparation and performance requirements shall also be used in the Low Temperature Test. The test room reconditioning equipment shall first be operated in a steady-state manner for at least one-half hour at equilibrium and at the specified test conditions. The unit shall then undergo a defrost, either automatic or manually induced. It is important that the unit terminate the defrost sequence by the action of its own defrost controls. The defrost controls are to remain at the same setting as specified in 4.2.1.3. At a time no earlier than 10 minutes after defrost termination, the test shall start. Test duration is one-half hour. For all units, defrost should be prevented during the one-half hour test period.

4.2.2Test instrumentation.

4.2.2.1Test instrumentation for the high temperature test. The indoor air flow rate shall be determined as described in Section 7.1 through 7.4 of ASHRAE Standard 37-78. This requires the construction of an air receiving chamber and discharge chamber separated by partition in which one or more nozzles are located. The receiving chamber is connected to the indoor air discharge side of the test specimen through a short plenum. The exhaust side of the air flow rate measuring device contains an exhaust fan with some means to vary its capacity to obtain the desired external resistance to air flow rate. The exhaust side is then left open to the test room or is ducted through a conditioning apparatus and then back to the test specimen inlet. The static pressure across the nozzles, the velocity pressure, and the static pressure measurements at the nozzle throat shall be measured with manometers which will result in errors which are no greater than ±1.0 percent of indicated value and having minimum scale divisions not exceeding 2.0 percent of the reading. Static pressure and temperature measurements must be taken at the nozzle throat in order to obtain density of the air. The areas of the nozzles shall be determined by measuring their diameter with an error no greater than ±0.2 percent in four places approximately 45 degrees apart around the nozzle in each of two places through the nozzle throat, one at the outlets and the others in the straight section near the radius. The energy usage of the compressor, indoor and outdoor fan, and all other equipment components shall be measured with a watt-hour meter which is accurate to within ±0.5 percent of the quantity measured. Measurements of the air temperature entering and leaving the indoor coil or the difference between these two shall be made in accordance with the requirements of ASHRAE Standard 41 part 1. These temperatures shall be continuously recorded with instrumentation having a total system accuracy within ±0.3° F of indicated value and a response time of 2.5 seconds or less. Temperature measurements are to be made upstream of the static pressure tap on the inlet and downstream of the static pressure taps on the outlet. The indoor and outdoor dry-bulb temperatures shall be continuously recorded with instrumentation which will result in an error no greater than ±0.3° F of indicated value. The outdoor wet-bulb temperature shall be continuously recorded. Static pressure measurements in the ducts and across the unit shall be made in accordance with Section 8 of ASHRAE Standard 37-78 using equipment which will result in an error no greater than ±0.01 inch of water. Static pressure measurements shall be made and recorded at 5 minute intervals. All other data not continuously recorded shall be recorded at 10 minute intervals.

4.2.2.2Test instrumentation for the cycling test. The air flow rate during the on-period of the Cyclic Test shall be the same agreed within ±1. percent as the air flow rate measured during the previously conducted High Temperature Test. All other instrumentation requirements are identical to 4.2.2.1 of this Appendix.

4.2.2.3Test instrumentation for the frost accumulation test. The air flow rate for the Frost Accumulation Test shall be the same as described in 4.2.2.1. The indoor-side dry-bulb temperature and outdoor-side dry-bulb temperature shall be continuously recorded with instrumentation having a total system accuracy within ±0.3° F of indicated value. The outdoor dew point temperature shall be determined with an error no greater than ±0.5° F of indicated value using continuously recording instrumentation. All other data shall be recorded at 10 minute intervals during the heating cycle. Defrost initiation, termination and complete test cycle time (from defrost termination to defrost termination) shall be recorded. Defrost initiation is defined as the actuation (either automatically or manually) of the controls normally installed with the unit which cause it to alter its normal heating operation in order to eliminate possible accumulations of frost on the outdoor coil. Defrost termination occurs when the controls normally within the unit are actuated to change from defrost operation to normal heating operation. Provisions should be made so that instrumentation in capable of recording the cooling done during defrost as well as the total electrical energy usage during defrost. These data and the continuously recorded data need be the only data obtained during defrost.

4.2.2.4Test instrumentation for the low temperature test. Instrumentation for the Low Temperature Test is identical to that of the High Temperature Test described in section 4.2.2.1 of this Appendix.

4.2.3Test tolerances.

4.2.3.1Test tolerances for the high temperature test. All tests shall be conducted within the tolerances specified in Section 6.2.1. Variation greater than those given shall invalidate the test. The heating capacity results by the indoor Air Enthalpy Method shall agree within 6 percent of the value determined by any other simultaneously conducted capacity test in order for the test to be valid.

4.2.3.2Test tolerances for the cyclic test. The test condition tolerances and test operating tolerances for the on-period portion of the test cycle are specified in Section 6.2.2. Variation exceeding any specified test tolerance shall invalidate the test results.

4.2.3.3Test tolerances for the frost accumulation test. Test condition and test operating tolerances for Frost Accumulation Tests are specified in Section 6.2.3. Test operating tolerances during heating applies when the unit is in the heating mode, except for the first 5 minutes after the termination of a defrost cycle. Test operating tolerance during defrost applies during a defrost cycle and during the first 5 minutes after defrost termination when the unit is operating in the heating mode. In determining whether the test condition tolerances are met, only the heating portion of the test period shall be used in calculating the average values. Variations exceeding the tolerances presented in Section 6.2.3 shall invalidate the test.

4.2.3.4Test tolerances for the low temperature test. During the test period for the Low Temperature Test, the operating conditions shall be within the tolerances specified in Section 6.2.1 of this Appendix.

4.3Testing procedures for air source units which provide both heating and cooling. The testing procedures for units which provide both heating and cooling shall be the same as those specified in Sections 4.1 and 4.2 of this Appendix. Also during the off-period of the dry-coil cooling test (test D), the switch-over valve shall remain in the cooling mode, unless the controls normally supplied with the unit are designed to reverse it, in which case the controls shall operate the valve. During the off-period of the cyclic heating test at 47° F, the switch-over valve shall remain in the heating mode, unless the controls normally supplied with the unit are designed to reverse it, in which case the controls shall operate the valve.

The testing data and results required to calculate the seasonal energy efficiency ratio (SEER) in Btu's per watt-hour shall include the following:

(i) Cooling capacities (Btu/hr) from tests A and B and, if applicable, the cooling capacity (Btu/hr) from test C and the total cooling done from test D (Btu's).

Qss k (95F)Qss k (82F)Qss, dryQcyc, dry

(ii) Electrical power input to all components and controls (watts) from tests A, B, and if applicable the electrical power input to all components and controls (watts) from test C and the electrical usage (watt-hour) from test D.

Ess k (95F)Ess k (82F)Ess k, dryEcyc, dry

(iii) Indoor air flow rate (SCFM) and external resistance to indoor air flow (inches of water).

(iv) Air temperature (° F)

Outdoor dry bulbOutdoor wet bulbIndoor dry bulbIndoor wet bulb

Where the cooling capacities Qss k (95F), from test A, Qss k (82), from test B, and Qss, dry, from test C, are calculated using the equations specified in section 3.7 of ASHRAE Standard 37-78. The total cooling done, Qcyc, dry from test D, is calculated using equation (1) below.

Units which do not have indoor air circulating fans furnished as part of the model shall have their measured total cooling capacities adjusted by subtracting 1250 Btu/hr per 1,000 CFM of measured indoor air flow and adding to the total steady-state electrical power input 365 watts per 1,000 CFM of measured indoor air flow.

Energy efficiency ratios from tests A, B, and C, EERA, EERB, EERss, dry respectively, are each calculated as the ratio of the total cooling capacity in Btu/hr to the total electrical power input in watts.

Units which do not have indoor air circulating fans furnished as part of the model shall adjust their total cooling done and energy used in one complete cycle for the effect of circulating indoor air equipment power. The value to be used for the circulating indoor air equipment power shall be 1250 Btu/hr per 1,000 CFM of circulating indoor air. The energy usage required in one complete cycle required for indoor air circulation is the product of the circulating indoor air equipment power and the duration of time in one cycle that the circulating indoor air equipment is on. The total cooling done shall then be the measured cooling in one complete cycle minus the energy usage required for indoor air circulation in one complete cycle. The total electrical energy usage shall be the sum of the energy usage required for indoor air circulation in one complete cycle and the energy used by the remaining equipment components (compressor(s), outdoor fan, crankcase heater, transformer(s), etc.) in one complete test cycle.

Energy efficiency ratio from tests D, EERcyc dry is calculated as the ratio of the total cooling done in Btu's to the total electrical energy usage in watt-hours.

Readings, remarksTest operating tolerance 1Test condition tolerance 2Outdoor dry-bulb air temperature, Fahrenheit: Entering2.00.5Indoor dry-bulb air temperature, Fahrenheit: Entering2.00.5Indoor wet-bulb air temperature, Fahrenheit: Entering(3)(3)After the first 30 sec after compressor startup:External resistance to airflow, inches water0.050.02Nozzle pressure drops, percent of reading2.0Electrical voltage inputs to the test unit, percent2.01 Total observed range.2 Variation of average from specified test condition.3 Shall at no time exceed that value of the wet-bulb temperature which results in the production of condensate by the indoor coil at the dry-bulb temperature existing for the air entering the indoor portion of the unit.

6.1.2Distribution of fractional hours in temperature bins to be used for calculation of the SEER for 2-speed compressor and 2-compressor units.

Test operating 1 toleranceTest condition 2 toleranceIndoor dry-bulb, ° F:Entering2.00.5Leaving2.0Indoor wet-bulb, ° F:Entering1.0Leaving1.0Outdoor dry-bulb, ° F:Entering2.00.5Leaving2.0Outdoor wet-bulb, ° F:Entering1.00.3Leaving1.0External resistance to air flow, inches of water.05.02Electrical voltage, percent2.01 Test operating tolerance is the maximum permissible variation of any measurement. When expressed as a percentage, the maximum allowable variation is the specified percentage of the average value.2 Test condition tolerance is the maximum permissible variation of the average value of the measurement from the standard or desired test condition.

Test operating tolerances 1Test condition tolerance 2Indoor dry-bulb, ° F:Entering2.00.5LeavingIndoor wet-bulb, ° F:Entering1.0LeavingOutdoor dry-bulb, ° F:Entering2.00.5LeavingOutdoor wet-bulb, ° F:Entering2.01.0LeavingExternal resistance to air-flow, inches of water.05.02Electrical voltage, percent2.01 Test operating tolerance is the maximum permissible variation of any measurement. When expressed as a percentage, the maximum allowable variation is the specified percentage of the average value. (Applies after the first 30 seconds after compressor start-up.)2 Test condition tolerance is the maximum permissible variation of the average value of the measurement from the standard or desired test condition.

6.2.3Test operating and test tolerances for frost accumulation tests.

Testing operating tolerance 1During heatingDuring defrostTest condition tolerance 2 (heating portion only)Indoor dry-bulb, ° F:Entering2.03 4.00.5LeavingIndoor wet-bulb, ° F:Entering1.0LeavingOutdoor dry-bulb, ° F:Entering2.010.01.0LeavingOutdoor dew-point, ° F:Entering1.50.7LeavingExternal resistance to air-flow, inches of water.05.02Electrical voltage, percent2.01 Test operating tolerance is the maximum permissible variation of any measurement. When expressed as a percentage, the maximum allowable variation is the specified percentage of the average value. Test Operating Tolerance During Heating applies when the heat pump is in the heating mode, except for the first 5 minutes after termination of a defrost cycle. Test Operating Tolerance During Defrost applies during a defrost cycle and during the first 5 minutes after the termination of a defrost cycle when the heat pump is operating in the heating mode.2 Test condition tolerance is the maximum permissible variation of the average value of the measurement from the standard or desired test condition. Test Condition Tolerance applies only when the heat pump is operating in the heating mode.3 Not applicable during defrost if the indoor fan is off.

6.2.4Distribution of fractional hours in temperature bins, heating load hours and outdoor design temperature for the different climatic regions.

1. Definitions. Definitions shall include the definitions specified in section 3.0 of ANSI/ASHRAE 103-82 and the following additional definitions:

1.1ASHRAE means the American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.

1.2ANSI/ASHRAE 103-82 means the test standard published in 1982 by ASHRAE, approved by the American National Standards Institute (ANSI) on June 21, 1983 and titled “Methods of Testing for Heating Seasonal Efficiency of Central Furnaces And Boilers.”

1.4Isolated combustion system means an installation in which a furnace is installed indoors and all combustion and ventilation air is admitted through grills or ducts from outdoors and (all such air) does not communicate with air in the conditioned space.

1.5Modulating control means either a step modulating or a “two-stage control”

1.7Single stage thermostat means a thermostat that cycles a burner from the maximum heat input rate and off.

1.8Step-modulating control means a modulating control that cycles a burner from the reduced input rate to off if the heating load is light. If a higher heating load is encountered which cannot be met with the reduced input rate, the control either gradually increases or steps up the input rate to meet the higher heating load. At that point if a lower heating load is encountered, the control either gradually decreases or steps down to a lower rate, or gradually increases the heat input to meet any higher heating load that cannot be met with the low firing rate.

1.9Thermal stack damper means a type of stack damper which is dependent for operation exclusively upon the direct conversion of thermal energy of the stack gases into closure of the damper.

1.10Two stage control means a modulating control that cycles a burner from reduced heat input rate and off or cycles a burner at the maximum heat input rate and off.

2.0Testing conditions. The testing conditions shall be as specified in section 8 of ANSI/ASHRAE 103-82 with the exception of section 8.4.2.3, and the inclusion of the following additional testing conditions:

2.1Gas burner adjustment at maximum input rate. The following paragraph is in addition to the requirements specified in section 8.4.1.1 of ANSI/ASHRAE 103-82:

For gas fueled furnaces and boilers equipped with modulating type controls, adjust the controls to operate the unit at the maximum fuel input rate. Set the thermostat control to the maximum setting. Start the furnace or boiler by turning the safety control valve to the “on” position. Use a supply water temperature for boilers that will allow for continuous operation without shut off by the thermostat control.

2.2Gas burner adjustment at reduced input rate. The following paragraph is in addition to the requirements specified in section 8.4.1.1 of ANSI/ASHRAE 103-82:

For gas fueled furnaces and boilers equipped with modulating type thermostat controls, adjust the controls to operate the unit at the reduced fuel input rate. Set the thermostat control to the lowest setting that does not cause the burner to cycle on and off. Start the furnace or boiler by turning the safety control valve to the “on” position. Use supply water temperature for boilers that will allow for continuous operation without shut off by the thermostat control. If necessary, supply water may be increased above 120° F in order to maintain continuous operation at the reduced setting.

2.3Gas and oil fueled low pressure steam and hot water boilers (including direct vent systems). The following paragraphs are in place of section 8.4.2.3 of ANSI/ASHRAE 103-82:

For non-condensing hot water boilers, the water flow rate shall be adjusted to produce a water temperature rise, during the steady-state test described in section 9.1 of ANSI/ASHRAE 103-82, of 19° F -24° F. During the steady-state and heat-up tests, the hot water boiler shall be supplied with water having a temperature of at least 120° F but not more than 124° F.

For steam boilers, the pressure shall be at atmospheric or at a pressure not exceeding 2 psig during the steady-state test.

3.0Test procedure. Testing and measurements shall be as specified in section 9 of ANSI/ASHRAE 103-82 with the exception of sections 9.2.2 and 9.3.2, and the inclusion of the following additional procedures:

3.1Gas fueled gravity furnaces, forced air central furnaces, and low pressure steam and hot water boilers (including direct vent systems, excluding condensing furnaces or boilers). The following paragraphs are in addition to the requirements specified in section 9.1.1 of ANSI/ASHRAE 103-82:

For all gas fueled furnaces and boilers, the steady-state efficiency shall be determined at the maximum fuel input rate measured in accordance with sections 2.1 of this appendix and section 9.1.1 of ANSI/ASHRAE 103-82. Also, for gas fueled furnaces and boilers equipped with either two stage thermostats or step-modulating thermostats, the steady-state efficiency shall also be determined at the reduced fuel input rate measured in accordance with sections 2.2 of this appendix and section 9.1.1 of ANSI/ASHRAE 103-82.

In addition, for gas fueled furnances and boilers equipped with draft hoods, measure CO2 in stack after dilution during the steady state condition.

3.2Flue temperature measurements—cool down test. The following paragraphs are in addition to the requirements specified in section 9.2 of ANSI/ASHRAE 103-82:

For furnaces and boilers equipped with step-modulating thermostats, the cool down

test shall be conducted after steady-state conditions have been reached at the reduced input rate, as specified in section 2.2 of this appendix. For furnaces and boilers equipped with two stage controls, separate cool down tests shall be conducted after steady-state conditions have been reached at both the reduced and maximum fuel input rates.

3.3Gas and oil fueled boilers—cool down test. The following paragraphs are in place of the requirements specified in section 9.2.2 of ASHRAE 103-82:

After steady-state testing has been completed, turn the main burner(s) off and measure the flue gas temperature at 3.75 (TF,OFF(t3)) and 22.5 (TF,OFF(t4)) minutes after the burner shuts off, using the thermocouple grid described above. During this off period for units that do not have pump delay after shut-off, no water shall be allowed to circulate through the hot water boilers. For units that have pump delay on shut-off, except those having pump controls sensing water temperature, the pump shall be stopped by the unit control and the time, t+, between burner shut-off and pump shut-off shall be measured within one second accuracy. For units having pump delay controls which sense water temperature, the pump shall be operated for 15 minutes and t+ shall be 15 minutes. While the pump is operating, the inlet water temperature and flow rate shall be maintained at the same values as used during the preceding steady-state test.

Make a third flue gas temperature measurement 45 minutes after the burner shuts off to determine the off-period minimum flue gas temperature (TF,OFF(∞)).

During this cool down test, measure the energy input rate to the pilot light (QP), if the unit is so equipped, to within an error no larger than ± 3 percent. Record all measured values. For oil fueled units not equipped with stack dampers, maintain the draft in the flue within the same ranges specified in section 9.2.1 of ANSI/ASHRAE 103-82. For direct vent systems with flue dampers or boilers equipped with both stack dampers and barometric dampers, close the flue or stack damper during the cool down test.

3.4Flue gas temperature measurements—heat-up test. The following paragraph is in addition to the requirement specified in section 9.3 of ANSI/ASHRAE 103-82.

For furnaces and boilers equipped with step-modulating thermostats, the heat-up test shall be conducted at the reduced fuel input rate, as specified in section 2.2 of this appendix. For furnaces and boilers equipped with two stage controls, separate heat-up tests shall be conducted at both the reduced and maximum fuel input rates.

3.5Gas and oil fueled boilers. The following paragraph is in place of the requirements specified in section 9.3.2 of ANSI/ASHRAE 103-82.

Fifty minutes or more after the main burner(s) is turned off for the cool down test, turn on the steam or hot water boiler and measure the flue gas temperature at 1.0 (Tf,on(t1)) and 5.5 (Tf,on(t2)) minutes after the main burners are turned on. The pump circulating the water through the hot water boiler shall be started simultaneously with the main burner(s). The water flow rate shall be the same as that maintained during the steady-state test described in section 9.1 of ANSI/ASHRAE 103-82. During the heat-up test for oil fired boilers maintain the draft in the flue pipe within ± 0.01 inch of water column of the manufacturer's recommended on-period draft. Record the measured temperatures.

3.6Direct measurement of condensate. For condensing furnaces and boilers, the condensate heat loss shall be determined either by the method specified in section 11.2.33 of ANSI/ASHRAE 103-82 or by the following test procedures:

Control devices shall be installed to allow cyclical operation of the unit and return water or air flows as described in sections 9.2 and 9.3 of ANSI/ASHRAE 103-82 and sections 3.2, 3.3, 3.4 and 3.5 of this appendix. The test unit shall be leveled prior to test. Operating times and beginning and end of condensate collection shall be determined by a clock or timer with a minimum resolution of one second. Humidity of the room air shall, at no time, exceed 80 percent.

Control of on or off operation actions shall be within ± 6 seconds of the scheduled time. Condensate drain lines shall be attached to the unit as specified in the manufacturer's installation instructions. A continuous downward slope of drain lines from the unit shall be maintained. Additional precautions shall be taken to facilitate uninterrupted flow of condensate during the test.

The flue pipe installation must not allow condensate formed in the flue pipe to flow back into the unit. An initial downward slope from the unit's exit, an offset with a drip leg, annular collection rings, or drain holes must be included in the flue pipe installation without disturbing normal flue gas flow, as specified in section 7.2.2 of ANSI/ASHRAE 103-82. Flue gases should not flow out of the drain with the condensate.

Collection-containers must be glass or polished stainless steel, so removal of interior deposits can be easily made. The collection-container shall have a vent opening to the atmosphere.

The scale for measuring the containers and sample condensate mass shall be calibrated with an error no larger than ± 0.5 percent over the range of interest.

The condensing furnace or boiler shall be tested by the flue loss method in accordance with the provisions for condensing units, as specified in section 9 of ASNI/ASHRAE 103-82 and section 3 of this appendix. The condensate collection-containers shall be dried prior to each use and shall be at room ambient temperature prior to a sample collection. Tare weight of the collection-container must be measured and recorded prior to each sample collection.

The unit should be operated in a cyclical manner until flue gas temperatures at the end of each on-cycle are within 5° F (2.8° C) of each other for two consecutive cycles. On-cycle and off-cycle times are listed in Table 2 of this appendix. Begin three test cycles. Return air temperature for furnaces shall be as specified in section 9 of ANSI/ASHRAE 103-82 and section 3 of this appendix. Return water temperature for boilers shall be as specified in section 2.3 of this appendix. Operation of the furnace blower or boiler pump shall conform to the time delay requirements specified in sections 9.2 and 9.3 of ANSI/ASHRAE 103-82 and sections 3.2, 3.3, 3.4, and 3.5 of this appendix for cool down and heat up tests. Operation of the boiler pump shall conform to the time delay requirements specified in section 3.3 of this appendix.

Begin condensate collection at one minute before the on-cycle period of the first test cycle. The container shall be removed one minute before the end of each off-cycle period of the sixth test cycle. Condensate mass shall be measured for each test cycle.

Fuel input shall be recorded during the entire test period starting at the beginning of the on-time period of the first cycle to the beginning of the on-time period of the second cycle, etc., for each of the test cycles. Fuel higher heating value (HHV), temperature and pressures necessary for determining fuel energy input (Qc) shall be recorded. The fuel quantity and HHV shall be measured with errors no greater than one percent. Determine the mass of condensate for each cycle (mc) in pounds. If at the end of three cycles, the sample standard deviation is within 20% of the mean value for 3 cycles use total condensate collected in the three cycles as mc, if not, continue collection for an additional three cycles and use the total condensate collected for the six cycles as mc. Determine the fuel energy input during the three or six test cycles (Qc) expressed in Btu.

Begin a steady-state condensate collection after steady-state conditions have been achieved as specified in section 8 of ANSI/ASHRAE 103-82 and section 2 of this appendix. The steady-state collection period shall be 30 minutes. Condensate mass shall be measured immediately at the end of the collection period to prevent evaporation loss from the sample. Fuel input shall be recorded for the one hour steady-state test period. Fuel Higher Heating Value (HHV), temperature and pressures necessary for determining fuel energy input QC,SS will be observed and recorded in Btu's. The fuel quantity and HHV shall be measured with errors no greater than one percent. Determine the mass of condensate for the steady-state test, mC,SS, in pounds by subtracting the tare container weight from the total container and condensate weight measured at the end of the 30 minutes test period.

3.7Direct measurement of off-cycle losses testing method. Reserved.

3.8Direct measurement of the S/F factors for oil furnaces and boilers.For oil furnaces and boilers that are marketed and sold with attached barometric dampers, the S/F factor shall be determined either by using assigned factors in Table 2 of ANSI/ASHRAE 103-82 or by the following test procedure:

To directly measure the S/F factor, seal the barometric damper plate in the closed position. Operate the furnace or boiler until steady-state temperatures are attained. Adjust the draft in the flue within one foot of the heat exchanger exit to be between 0.075 and 0.085 inch water column. A mechanical draft inducer or a natural draft developed by adjusting the height of the test stack may be used. Remove the seal from the barometric damper and adjust the damper gate to achieve proper draft, as specified by the manufacturer. If the draft over the fire is specified as a range, adjust the draft to the mid-point of that range.

After steady-state conditions are again achieved with the draft adjusted as specified, measure CO2 before and after dilution at points marked A and B in Figure 2 of this appendix. To ensure that the sample is well mixed after dilution obtain a representative sample of stack gas by sampling from several points on a horizontal plane through the cross section of the stack. The test setup shown in Figure 2 enhances the mixing of dilution air and flue gases. Alternatively, a straight length of stack or other flue piping arrangement may be used with stack samples taken sufficiently downstream after dilution in order to obtain a well-mixed sample.

3.9Furnaces and boilers that includes small air passages in the flue.For furnaces and boilers that includes small air passages in the flue where such passage serves a utility other than for draft relief, the air passage shall be open during all tests and the test data shall be reduced as specified in section 4 of this appendix.

These units shall be considered as direct exhaust systems, for the purposes of this test procedure. These provisions shall not apply to systems which allow for air flow through the air passage in excess of 10 percent of maximum steady state total flue flow; in these cases, such passages are to be considered as draft diverters or draft hoods.

4.0Calculations.Calculations shall be as specified in section 11 of ANSI/ASHRAE 103-82 with the exception of section 11.2.6, and the inclusion of the following additional calculations:

4.1Annual fuel utilization efficiency for electric furnaces and boilers.The annual fuel utilization efficiency for electric furnaces and boilers (AFUE) is equal to the heating seasonal efficiency for electric furnaces and boilers (Effyhs-e) as defined in section 11.1 of ANSI/ASHRAE 103-82.

4.2.Average ratio of stack gas mass flow rate to flue gas mass flow rate at steady-state operation.The following paragraphs are in place of the requirements specified in section 11.2.6 of ANSI/ASHRAE 103-82:

S/F=1.3 RT,S/RT,Fwhere:RT,S= as defined in 11.2.3 of ANSI/ASHRAE 103-82RT,F= as defined in 11.2.2 of ANSI/ASHRAE 103-82

For gas furnaces and boilers equipped with draft hoods determine the S/F by the method set out above or use the assigned value of 2.4. This alternative method may be used until 24 months from the effective date of the amendment. After that date, the assigned value may not be used and only the method set out above may be used.

For oil furnaces and boilers, S/F shall be 1.40 for units not shipped with barometric dampers or for units shipped with barometric dampers, S/F shall be either 1.40 or determined by:

S/F= RT,S/RT,Fwhere:RT,S= as defined in 11.2.3 of ANSI/ASHRAE 103-82 in which the value of CO2 measured in the stack in 3.8 of this appendix is usedRT,F= as defined in 11.2.2 of ANSI/ASHRAE 103-82 in which the value of CO2 measured in the flue in 3.8 of this appendix is used

4.3Optional direct condensate measurement method. For condensing furnaces and boilers for which the direct measurement of condensate is used, as specified in section 3.6 of this appendix, calculate the part-load efficiency (ηu) and the steady-state efficiency (ηSS) expressed as a percent and defined as:

ηu= Effyhs+ LG− LCηSS= EffySS+ LG,SS− LC,SSwhere:Effyhs= heating seasonal efficiency for non-condensing furnaces and boilers, as defined in 11.2.34 of ANSI/ASHRAE 103-82LG= latent heat gain under part-load conditions, as defined in 4.3.1 of this appendixLC= part-load heat loss due to the condensate going down the drain and corrected for the fact that the condensate did not go up the flue as heated vapor, as was assumed in determining LS,SS,A, as defined in 4.3.2 of this appendixEffySS= steady-state efficiency for non-condensing furnaces and boilers, as defined in 11.2.5 of ANSI/ASHRAE 103-82LG,SS= latent heat gain under steady-state conditions, as defined in 4.3.3 of this appendixLC,SS= steady-state heat loss due to the condensate going down the drain and corrected for the fact that the condensate did not go up the flue as heated vapor, as was assumed in determining LS,SS,A, as defined in 4.3.4 of this appendix